Daniel A. Borges
Professional summary
Daniel A Borges Jr, who also goes by Daniel Allen Borges Jr, Daniel Allen Borges, Danny Borges, Dan A Borges, Daniel A Borges, Daniel Borges, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St Paul, Minnesota.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel A Borges Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2023 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St Paul, MN 55101January 29, 2019 - May 12, 2022
TOUCHSTONE SECURITIES, INC.
April 15, 2010 - October 1, 2018
AUGUSTAR DISTRIBUTORS, INC.
November 28, 2007 - December 31, 2008
EQUITABLE DISTRIBUTORS, LLC
January 1, 2007 - November 29, 2007
RIVERSOURCE DISTRIBUTORS, INC.
March 30, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
March 30, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 2001 - December 17, 2003
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 14, 1998 - March 1, 2001
GLOBAL ATLANTIC DISTRIBUTORS, LLC
February 21, 1996 - November 6, 1997
BANC ONE SECURITIES CORPORATION
October 8, 1994 - December 4, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 8, 1994 - December 4, 1995
OSAIC FA, INC.
April 20, 1992 - August 31, 1994
MARKETING ONE 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
(1/24/2024)
(1/25/2024)
Exams
FINRA
Current Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St Paul, MN 55101TRUST BUT VERIFY
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