Wayne Von Borstel
Professional summary
Wayne Von Borstel, CFP®, who also goes by Wayne Vonborstel, is a registered financial advisor currently at VON BORSTEL & ASSOCIATES located in The Dalles, Oregon.
Wayne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Wayne has worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 2, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Von Borstel's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1993
Experience
August 3, 2020 - Present
VON BORSTEL & ASSOCIATES
Office #1: 308 E 3rd Street, The Dalles, OR 97058March 30, 2017 - August 31, 2020
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
February 7, 2003 - September 8, 2016
LPL FINANCIAL LLC
July 2, 2001 - August 12, 2020
LPL FINANCIAL LLC
February 4, 1992 - April 25, 2017
VON BORSTEL & ASSOCIATES, INC.
November 18, 1985 - July 2, 2001
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
VON BORSTEL & ASSOCIATES
CRD#: 309746 / SEC#: 801-119041
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/3/2020)
(7/10/2023)
(8/19/2020)
Exams
Series 2
Date: 10/7/1994
Non-Member General Securities ExaminationCurrent Firm
VON BORSTEL & ASSOCIATES
CRD#: 309746 / SEC#: 801-119041
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,158 |
| AUM (Assets Under Management) | $ 576,356,064 |
Red Flags
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