Das A. 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.
Das Arnold Borden was a registered financial professional .
Das is a previously registered financial professional and started their career in finance in 1972. Das had worked at 1 firm and has passed the SIE and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 1972 - November 6, 2020
AVALON INVESTMENT & SECURITIES GROUP, INC.
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 00
Date: 6/2/1972
General Securities Principal ExaminationCurrent Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
