Samuel J. Borger
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.
Samuel Jacob Borger, who also goes by Sam Jacob Borger, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1970. Samuel had worked at 16 firms and has passed the Series 63, SIE, Series 1 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
November 20, 2015 - December 13, 2019
ST. BERNARD FINANCIAL SERVICES, INC.
January 8, 2013 - April 17, 2014
MSI FINANCIAL SERVICES, INC.
November 1, 2011 - January 15, 2013
OSAIC FA, INC.
February 18, 2010 - October 27, 2011
EQUITABLE ADVISORS, LLC
September 11, 2008 - February 4, 2010
SIGNATOR INVESTORS, INC.
October 16, 2007 - September 8, 2008
PARK AVENUE SECURITIES LLC
November 9, 2004 - October 10, 2007
EQUITY SERVICES, INC.
April 21, 1997 - October 6, 2004
CARILLON INVESTMENTS, INC.
January 2, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 2, 1997 - May 30, 1997
SIGNATOR INVESTORS, INC.
August 14, 1991 - October 21, 1996
MONY SECURITIES CORPORATION
April 11, 1988 - September 5, 1991
MML INVESTORS SERVICES, LLC
August 25, 1987 - February 13, 1989
MOSTEL & TAYLOR SECURITIES INC.
August 1, 1977 - June 11, 1987
PERSONAL ECONOMICS SECURITIES CORPORATION
October 24, 1973 - December 21, 1974
SECURITY INVESTMENT SERVICES CORP.
May 30, 1973 - June 3, 1987
HORNOR, TOWNSEND & KENT, LLC
February 19, 1970 - June 26, 1974
MONY SECURITIES CORP
Primary Firm SEC Registration
ST. BERNARD FINANCIAL SERVICES, INC.
CRD#: 36956 / SEC#: 801-113763, 8-47566
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 1
Date: 9/17/1969
Registered Representative ExaminationCurrent Firm
ST. BERNARD FINANCIAL SERVICES, INC.
CRD#: 36956 / SEC#: 801-113763, 8-47566
Contact information
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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.
