Todd K. Borton
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.
Todd Kenneth Borton, who also goes by Todd K Borton, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1987. Todd had worked at 4 firms and has passed the Series 66, Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2011 - November 30, 2020
SOUTHEASTERN ADVISORY SERVICES INC
May 25, 2001 - March 2, 2012
SOUTHEASTERN ADVISORY GROUP, INC.
December 15, 1997 - December 12, 2000
UAM FUND DISTRIBUTORS, INC.
April 11, 1987 - October 19, 1990
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SOUTHEASTERN ADVISORY SERVICES INC
CRD#: 109817 / SEC#: 801-31661
Contact information
Red Flags
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