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EB

Earl R. Borders

INVESTMENTS FOR YOU
Marysville, OH 43040
Some features on this profile are disabled
CRD#: 1937281
EB

Professional summary

Earl R Borders III, who also goes by Earl Borders, Earl R Borders, is a registered financial professional currently at INVESTMENTS FOR YOU, INC. located in Marysville, Ohio.

Earl is registered as a RR (Registered Representative) and started their career in finance in 1989. Earl has worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Earl Borders | Earl R Borders

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Earl R Borders III's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 1, 2020 - Present

INVESTMENTS FOR YOU, INC.

Office #1: 1040 N. Maple Street, Marysville, OH 43040
BD
CRD#: 29257
Marysville, OH
Past

August 11, 2016 - July 1, 2020

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
WESTERVILLE, OH
Past

February 27, 2014 - July 29, 2016

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
ZANESVILLE, OH
Past

August 16, 2010 - July 30, 2012

INVESTMENTS FOR YOU, INC.

BD
CRD#: 29257
MARYSVILLE, OH
Past

January 1, 2004 - September 15, 2008

CETERA ADVISORS LLC

BD
CRD#: 10299
REYNOLDSBURG, OH
Past

April 12, 1996 - January 1, 2004

VESTAX SECURITIES CORPORATION

BD
CRD#: 10332
HUDSON, OH
Past

October 22, 1993 - March 4, 1996

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

October 22, 1993 - March 4, 1996

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

March 31, 1993 - September 28, 1993

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE
Past

April 24, 1989 - January 25, 1991

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(10/6/2020)
RR
Ohio
(10/1/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 3/12/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/19/1989
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
INVESTMENTS FOR YOU, INC.
INVESTMENTS FOR YOU, INC.

CRD#: 29257 / SEC#: , 8-44179

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1040 N. Maple Street, Marysville, OH 43040
Mailing Address
1040 N. Maple Street, Marysville, OH 43040
Phone number
(937) 644-1661
Established
Ohio since 08/21/1991
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BINGMAN, MAX CURTISPRESIDENT/CHIEF COMPLIANCE OFFICER1079183

Disclosures

Regulatory Event3

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.

Company Information

INVESTMENTS FOR YOU, INC.

CRD#: 29257Marysville, OH 43040

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