Douglas R. Borden
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.
Douglas Richard Borden was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1987. Douglas had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2016 - March 30, 2020
PRIMARY ASSET MANAGEMENT, LLC
July 21, 2014 - March 30, 2020
VCS VENTURE SECURITIES
April 28, 2004 - March 19, 2012
CITIGROUP GLOBAL MARKETS INC.
July 18, 2003 - October 10, 2003
ESSEX NATIONAL SECURITIES, LLC
July 16, 2003 - October 10, 2003
ESSEX NATIONAL SECURITIES, LLC
September 6, 2002 - July 10, 2003
QUICK & REILLY, INC.
April 25, 2001 - July 10, 2003
QUICK & REILLY, INC.
October 21, 1998 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
January 24, 1997 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
May 26, 1994 - January 28, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
March 11, 1988 - June 1, 1994
F.N. WOLF & CO., INC.
May 6, 1987 - March 15, 1988
EQUITABLE SECURITIES OF NEW YORK,INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/27/2024
General Securities Representative ExaminationSeries 57TO
Date: 3/27/2024
Securities Trader ExamSeries 55
Date: 4/15/2006
Limited Representative-Equity Trader ExamCurrent Firm
PRIMARY ASSET MANAGEMENT, LLC
CRD#: 170610 / SEC#:
Contact information
Red Flags
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