William D. 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.
William Douglas Borden, who also goes by William D Borden, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1992. William had worked at 10 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 4, 2018 - November 15, 2021
ALLSTATE FINANCIAL SERVICES, LLC
April 9, 2015 - January 13, 2016
OSAIC SERVICES, INC.
April 7, 2014 - May 21, 2014
LPL FINANCIAL LLC
March 6, 2012 - April 16, 2012
MSI FINANCIAL SERVICES, INC.
June 3, 2011 - August 11, 2011
MML INVESTORS SERVICES, LLC
October 22, 2010 - February 3, 2011
CENTAURUS FINANCIAL, INC.
June 24, 2009 - October 22, 2010
USA ADVANCED PLANNERS INC.
August 31, 2004 - January 20, 2009
RETIREMENT CAPITAL GROUP SECURITIES, INC.
April 30, 1997 - July 21, 2004
MML INVESTORS SERVICES, LLC
March 1, 1996 - January 28, 1997
MML INVESTORS SERVICES, LLC
November 14, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
October 5, 1992 - October 10, 1995
HIMCO DISTRIBUTION SERVICES COMPANY
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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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