Christopher F. Borgese
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.
Christopher Frank Borgese was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2005 - May 17, 2007
TAFFERER TRADING, LLC
November 26, 2002 - December 17, 2004
TAFFERER TRADING, LLC
October 8, 2001 - August 1, 2002
RUMSON CAPITAL, LLC
June 26, 2000 - April 20, 2001
MERCER PARTNERS INCORPORATED
January 10, 2000 - June 23, 2000
MERIT CAPITAL ASSOCIATES, INC.
May 20, 1997 - January 11, 2000
MILLENNIUM SECURITIES CORP.
February 6, 1995 - June 19, 1997
M.S. FARRELL & COMPANY, INC.
October 24, 1994 - February 24, 1995
BRIMBERG & CO.
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
Series 55
Date: 11/26/2001
Limited Representative-Equity Trader ExamCurrent Firm
TAFFERER TRADING, LLC
CRD#: 36816 / SEC#: , 8-47474
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLD BROTHERS INC. | HOLDING CORPORATION | |
| HOLD, GREGORY FRANCIS | CHIEF EXECUTIVE OFFICER | 2169408 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| 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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