Donald A. Borschel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Alan Borschel SR, who also goes by Donald Alan Borschel, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1986. Donald had worked at 9 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2021 - December 31, 2021
THE LEADERS GROUP, INC.
April 9, 2014 - October 16, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
December 8, 2000 - January 9, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 9, 1999 - December 31, 2000
NATIONWIDE SECURITIES, LLC
November 18, 1991 - October 6, 1998
CITICORP INVESTMENT SERVICES
September 17, 1988 - December 31, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
July 20, 1987 - April 12, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 1987 - August 5, 1987
OBERWEIS SECURITIES, INC.
August 19, 1986 - December 19, 1986
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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