EB
Elizabeth N. Borger
STIFEL, NICOLAUS & COMPANY
ELKHART, IN 46516
Some features on this profile are disabled
CRD#: 2341551
EB
Professional summary
Elizabeth N Borger, who also goes by Elizabeth Anne Naquin, Elizabeth Anne Naquinborger, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Elkhart, Indiana.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Elizabeth has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth Anne Naquin | Elizabeth Anne Naquinborger
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.
1. PHOTO-OPS LLC; CREATE PHOTO BOOKS; OWNER; VERY LITTLE; OVERSIGHT IF A PROJECT ARISES; 12/1/08; 10 HRS/QTR; NOT DURING SEC TRADING HRS. NoInvRel 2.CURRENT CAFE AND CREATIONS DBA ON THE RIVER; RETAIL GIFTS, REAL ESTATE PROJECTS; OWNER; GEN MGMT; 8/9/10; 10 HRS/MO; NOT DURING SEC TRADING HRS. NoInvRel 3. UNIVESITY OF NOTRE DAME SHAKESPEARE IN /FORMANCE; BOARD MEMBER; ADISORY TO /FORMANCE INITIATIVE; 10 HRS/ QTR; NOT DURING SEC TRADING HR. NoInvRel 4. BORGER DESTINATIONS LLC; ELKHART IN 46516; REAL ESTATE INVS; MANAGING PARTNER; MGMT; 11/7/17 5 HRS/ YR; NOT DURING SEC TRADING HRS; INV REL 5. Non-Family Trustee 6. Borger Pletcher, S-Corp; Elkhart IN 46516; Landholdings; Owner; 11/07/17; 5.00 Hrs/Mo; not during sec trading hrs; InvRel 7. The Borger Group, LLC; Pkwy Elkhart IN 46516; Holding Company; Managing Partner; Mgmt; 11/07/17; 5.00 Hrs/Yr; not during sec trading hrs; InvRel 8. The Pointe, LLC; Elkhart IN 46516; subdivision; Managing Partner; Mgmt; 11/07/17; 5.00 Hrs/MO; not during sec trading hrs; InvRel 9. Bay Ridge Corp; Elkhart IN 46516; subdivision; Owner; 11/07/17; 5.00 Hrs/Yr; not during sec trading hrs; InvRel 10. Borger Associates; Elkhart IN 46516; Construction, property mgmt; Owner; 11/07/17; 5.00 Hrs/Mo; not during sec trading hrs; InvRel 11. Naquin Family Florida Land Trust LLP; Elkhart, IN. 46514; Real Estate; Limited Partner; 01/01/76; 3.00 Hrs / Yr; Not during sec trading hrs; Invrel 12. PEO; Elkhart, IN 46514; Vice President - follow the agenda of the meeting in presidents absence; 01/01/93; 6.00 Hrs/Yr - not during sec trading hrs; NoInvRel 13. Progress Club; Elkhart, IN 46514; Women's Social group; President; Lead the meetings; 02/19/93; 10 Hrs /Mo; Not During Sec Trading Hrs; NoInvRel 14. enFocus; South Bend, IN 46601; Career and civic development at collegiate and post collegiate levels; Board Member; Strategic Planning; 07/23/21; 5 Hrs /Mo; During Sec Trading Hrs; NoInvRel 15. Icon Holdings, LLC; Elkhart, IN 46516; Own and develop property; Sole Member/President; Mgmt and operations for property purchases, leases, and sales; 02/28/22; 5 Hrs / Mo; Not During Sec Trading Hrs; InvRel. 16. Elkhart Parks Foundation; Elkhart, IN 46516; Foundation to support the parks for Elkhart county; Board Member; Voting on parks projects, fundraising; 03/01/22; 5 Hrs/Mo; Not During Sec Trading Hrs; NoInvRel 17. Toradze International Music Festival; Tblisi, OT, Georgia; Classical Piano music Celebrating a renown pianist who lived in South Bend Indiana but was from the country of Georgia; Brd memb of the Fest; To attend the fest in Tblisi Georgia; 03/22/23; 5 Hrs /Yr; Not During Sec Trading Hrs; NoInvRel 18. Women's Care Center; Elkhart IN 46516; Brd of Dir; Fundraising and Plan; 4/3/23; 4 hrs/mo; during sec trading hrs; NoInvRel 19. Riverwalk Commons LLC; Elkhart IN 46516; Sngl Build Dev and Rent; 1/3 owner; vote for all fin decisions; 11/07/17; 2 hrs/qtr; not during sec trading hrs; InvRel 20. Casbor LLC; Elkhart IN 46516; Single Building Dev and Rental; Co-Owner; 11/07/17; 5hrs/Mo; not during sec trading hrs; Inv rel 21. Elkhart Park Foun; Elkhart IN 46516; Foundation to support the parks for Elkhart County; Pres of the brd of dir; Vote on park proj, fundraising; 03/01/2022; 5.00hrs/mo; Not dring sec trding hrs; NoInvRel 22. Mid-City Supply Co, Inc; Elkhart, IN; Industrial supply, HVAC, Plumbing; Board of Advisors; Attend quarterly meetings, read financial reports and provide feedback. Mentor leadership team; 01/01/25; 4 hr/qtr; Not dring sec trding hrs; NoInvRel 23. Women's Care Center; 360 N ND Ave S Bend IN 46624; Support pregnant women; Brd Mem; Govern; 04/01/25; 5hrs/mo; Nt dring sec trading hrs; NoInvRel 24. Holy Cross; 54515 SR 933 N Notre Dame, IN; Educ; Brd Mem; Strategic Planning, Govern; 05/15/2025; 5hrs/mth; Not dring sec trding hrs; NoInvRel 25. Women's Care Center; 360 N ND Ave S Bend IN 46624; N-Prof Fndraisng Women's Care Center; Brd mem; 09/01/2025; 5hrs/mth; Not dring sec trding hrs; NoInvRel
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth N Borger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth N Borger's 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®
NoneExperience
Current
June 21, 2013 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 200 Nibco Parkway Suite 300, Elkhart, IN 46516RIA
BD
CRD#: 793
ELKHART, IN
Current
June 21, 2013 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 200 Nibco Parkway Suite 300, Elkhart, IN 46516RIA
BD
CRD#: 793
ELKHART, IN
Past
July 1, 2003 - April 26, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ELKHART, IN
Past
July 1, 2003 - April 26, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ELKHART, IN
Past
December 10, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
ELKHART, IN
Past
April 30, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(6/21/2013)
RR
California(6/21/2013)
RR
Colorado(6/21/2013)
RR
Connecticut(6/21/2013)
RR
Delaware(11/10/2025)
RR
District of Columbia(6/21/2013)
RR
Florida(6/21/2013)
RR
Georgia(2/4/2019)
RR
Illinois(6/21/2013)
RR
Indiana(6/21/2013)
IAR
Indiana(6/21/2013)
RR
Kentucky(6/21/2013)
RR
Massachusetts(1/25/2021)
RR
Michigan(6/21/2013)
RR
Minnesota(3/3/2021)
RR
Missouri(6/21/2013)
RR
New Jersey(9/21/2015)
RR
New Mexico(1/25/2021)
RR
New York(1/25/2021)
RR
North Carolina(6/21/2013)
RR
Ohio(6/21/2013)
RR
Oregon(6/21/2013)
RR
Pennsylvania(6/21/2013)
RR
Rhode Island(7/8/2019)
RR
South Carolina(1/4/2019)
RR
South Dakota(12/20/2021)
RR
Tennessee(5/12/2025)
RR
Texas(6/21/2013)
IAR
Texas(1/28/2020)
RR
Virginia(10/15/2019)
RR
Washington(6/21/2013)
RR
Wisconsin(6/21/2013)
RR
Wyoming(6/21/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Elkhart, IN 46516TRUST BUT VERIFY
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