Christine A. Bordas
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.
Christine Anne Bordas, who also goes by Christine A Bordas, Christy A Bordas, Christy Anne Bordas, Christy Bordas, Christy Bordas-mason, Christy Anne Breymaier, Christy Anne Breymailer, Christy Bordas-mason, Christine Breymaier, Christy Bordas Mason, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 1986. Christine had worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 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
March 31, 2016 - September 17, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 16, 2012 - July 31, 2013
AMERICAFIRST SECURITIES, INC.
May 14, 2012 - July 31, 2013
AMERICAFIRST CAPITAL MANAGEMENT, LLC
January 9, 2012 - May 2, 2012
MIDAMERICA FINANCIAL SERVICES, INC.
March 2, 2011 - October 3, 2011
LOCORR DISTRIBUTORS, LLC
March 22, 2010 - September 30, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
March 29, 2005 - March 23, 2010
CAPITAL BROKERAGE CORPORATION
August 11, 2001 - April 2, 2005
ALLIANZ LIFE FINANCIAL SERVICES, LLC
June 21, 1999 - August 3, 2001
KEYBANC CAPITAL MARKETS INC.
April 30, 1998 - December 7, 1998
WRP INVESTMENTS, INC.
April 25, 1997 - April 22, 1998
WELLS FARGO CLEARING SERVICES, LLC
August 31, 1990 - April 24, 1997
THE HUNTINGTON INVESTMENT COMPANY
November 7, 1989 - August 15, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
December 22, 1988 - March 28, 1989
AT INVESTMENT SERVICES CORP.
September 24, 1987 - November 30, 1988
BANC ONE SECURITIES CORPORATION
October 9, 1986 - December 22, 1986
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
