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JB

John A. Borris

COHEN & COMPANY SECURITIES
BOCA RATON, FL 33431
Some features on this profile are disabled
CRD#: 1403859
JB

Professional summary

John Alexander Borris is a registered financial professional currently at COHEN & COMPANY SECURITIES, LLC located in Boca Raton, Florida.

John is registered as a RR (Registered Representative) and started their career in finance in 1988. John has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Alexander Borris's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 31, 2014 - Present

COHEN & COMPANY SECURITIES, LLC

Office #1: 1800 N. Military Trail Suite 450, Boca Raton, FL 33431
BD
CRD#: 149758
BOCA RATON, FL
Past

October 24, 2011 - January 31, 2014

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
BOCA RATON, FL
Past

December 6, 2006 - October 19, 2011

DAVID LERNER ASSOCIATES, INC.

BD
CRD#: 5397
BOCA RATON, FL
Past

May 1, 2006 - October 27, 2006

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BOCA RATON, FL
Past

July 9, 2001 - March 3, 2006

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

December 19, 2000 - July 26, 2001

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

May 22, 2000 - December 19, 2000

GREENWICH PARTNERS, LLC

BD
CRD#: 14074
STAMFORD, CT
Past

March 3, 2000 - May 25, 2000

R. SEELAUS & CO., LLC

BD
CRD#: 14974
CHATHAM, NJ
Past

April 18, 1989 - February 16, 2000

AVM, L.P.

BD
CRD#: 16710
BOCA RATON, FL
Past

August 31, 1988 - January 30, 1989

CM&M FUTURES INC.

BD
CRD#: 15845
Past

August 31, 1988 - January 30, 1989

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/31/2014)
RR
Connecticut
(1/31/2014)
RR
Florida
(1/31/2014)
RR
Illinois
(1/31/2018)
RR
New Jersey
(8/28/2020)
RR
New York
(1/31/2014)
RR
Oklahoma
(1/31/2018)
RR
Texas
(1/31/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758Boca Raton, FL 33431

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