John B. Borton

INVESTMENT TRENDS CAPITAL GROUP LLC

Scottsdale, AZ

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CRD#: 2552742

Professional summary

John Barry Borton is a registered financial advisor currently at INVESTMENT TRENDS CAPITAL GROUP LLC located in Scottsdale, Arizona.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. John has worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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- TARPON ENTERPRISES, LLC. NOT INVESTMENT RELATED; HOUSTON, TX; ONLY USED TO LIST BUSINESS EXPENSES FOR TAX PURPOSES; SOLE PROPRIETOR; 0 HOURS 2- INVESTMENT TRENDS LLC, NOT INVESTMENT RELATED; HELENA, MT; OWNER SINCE 9/2022; HOLDING ASSETS; 0 HOURS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Barry Borton'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®

None

Experience

Current

November 8, 2023 - Present

INVESTMENT TRENDS CAPITAL GROUP LLC

RIA

CRD#: 328745

Scottsdale, AZ

Past

July 22, 2022 - August 11, 2023

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Houston, TX

Past

December 5, 2012 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

HOUSTON, TX

Past

June 27, 2012 - August 11, 2023

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

Houston, TX

Past

February 7, 2008 - December 19, 2012

VFINANCE INVESTMENTS, INC

CRD#: 44962

HOUSTON, TX

Past

July 19, 2006 - February 7, 2008

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

BOCA RATON, FL

Past

October 12, 2001 - June 29, 2006

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

August 5, 1998 - September 5, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

March 22, 1995 - August 11, 1998

JWGENESIS SECURITIES, INC.

CRD#: 33832

BOCA RATON, FL

Past

March 3, 1995 - March 22, 1995

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

November 22, 1994 - July 11, 1995

HANOVER, STERLING & COMPANY LTD.

CRD#: 15491

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(11/8/2023)

IAR

Texas
(11/15/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/26/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/6/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/13/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/21/1994

General Securities Representative Examination

Current Firm

INVESTMENT TRENDS CAPITAL GROUP LLC

CRD#: 328745 / SEC#:

Arizona

Registered Investment Advisory firm - (11/8/2023 Approved)

New York

Registered Investment Advisory firm - (2/20/2025 Terminated)

Texas

Registered Investment Advisory firm - (11/15/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Scottsdale, AZ

Mailing Address

Phone number

(561) 866-1529

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	34
AUM (Assets Under Management)	$ 24,500,529

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.

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Firm Stability Insights

John B. Borton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Barry Borton's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

NATIONAL SECURITIES CORPORATION

B. RILEY WEALTH ADVISORS, INC.

VFINANCE INVESTMENTS, INC

CAPITAL GROWTH FINANCIAL, LLC

NATIONAL SECURITIES CORPORATION

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JWGENESIS SECURITIES, INC.

INTERFIRST CAPITAL CORPORATION

HANOVER, STERLING & COMPANY LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2012

Series 63

Date: 12/6/1994

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/13/2010

Series 7

Date: 11/21/1994

Current Firm

INVESTMENT TRENDS CAPITAL GROUP LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTMENT TRENDS CAPITAL GROUP LLC

TRUST BUT VERIFY

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