Constance M. Borwick
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.
Constance Mary Borwick, who also goes by Conni Borwick, Connie Borwick, Constance M Borwick, was a registered financial professional .
Constance is a previously registered financial professional and started their career in finance in 1990. Constance had worked at 7 firms and has passed the Series 63, SIE 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
January 8, 2016 - October 1, 2018
FORESTERS EQUITY SERVICES, INC.
January 6, 2016 - October 1, 2018
FORESTERS EQUITY SERVICES, INC.
May 26, 1999 - December 31, 2015
SPC
April 24, 1995 - December 31, 2015
SIGMA FINANCIAL CORPORATION
January 7, 1992 - May 2, 1995
FIDELITY EQUITY SERVICES CORPORATION
October 14, 1991 - December 11, 1991
WORLD INVEST CORPORATION
December 5, 1990 - July 12, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 5, 1990 - July 12, 1991
EQUITABLE ADVISORS, LLC
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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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.
