Wayne Von Borstel
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Wayne Vonborstel
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Credentials
Years of Experience
41 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
VON BORSTEL & ASSOCIATES | VON BORSTEL & ASSOCIATES, INC.
Contact Information
Main Address
308 E 3rd Street, The Dalles, OR 97058Phone Number
(541) 296-6669# of Employees
11SEC notice filing (8 States and Territories)
Registered to provide investment advisory services in 8 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,070AUM (Assets Under Management)
$680,192,461Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
VON BORSTEL & ASSOCIATES | VON BORSTEL & ASSOCIATES, INC.
State Registrations and Notice Filings
(8/3/2020)
(7/10/2023)
(8/19/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 2 — Non-Member General Securities Examination
Passed Oct 1994Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1985About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Wayne Von Borstel's CRS (Customer Relationship Summary).
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