CB
Carolyn A. Borgert
CETERA INVESTMENT ADVISERS LLC
FORT MITCHELL, KY 41017
Some features on this profile are disabled
CRD#: 2684977
CB
Professional summary
Carolyn Ann Borgert is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fort Mitchell, Kentucky and CETERA FINANCIAL SPECIALISTS LLC located in Ft. Mitchell, Kentucky.
Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Carolyn has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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)NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 1999
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
POSITION/TITLE/RELATIONSHIP: SALES
BRIEF DESCRIPTION OF DUTIES: SELLING HEALTH, VISION, DENTAL, & TRAVEL INSURANCE
2) ROLEX LEX. 3-DAY EVENT, CHIEF OF FENCE JUDGES, CHIEF, SINCE 4/78, 8H/WEEK; 3) GROUP VOL.PROD, NOT IR, AGENT, SINCE 6/24/02, 1H/WEEK;
4) GROUP BENEFITS, NOT IR, AGENT, SINCE 10/00;
5)NAME OF OTHER BUSINESS: FEI
INVESTMENT RELATED: NO
ADDRESS: 817 ROGERS RD VILLA HILLS KY 41017
NATURE OF BUSINESS: HORSE SHOWING ASSOCIATION
START DATE: 1992
APX NUMBER OF HOURS PER WEEK: 10
APX NUMBER OF HOURS DURING TRADING HOURS: 8
POSITION/TITLE/RELATIONSHIP: TECHNICAL DELEGATE
BRIEF DESCRIPTION OF DUTIES: RULE INTERPRETATION & CHIEF STEWARD
6)NAME OF OTHER BUSINESS: BREYERFEST
INVESTMENT RELATED: NO ;
ADDRESS: 817 ROGERS RD, VILLA HILLS KY 41017 ;
NATURE OF BUSINESS: EQUESTRIAN ACTS
START DATE: 07/2019 ;
POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR ;
APX NUMBER OF HOURS PER WEEK: ONE WEEK IN JULY ;
APX NUMBER OF HOURS DURING TRADING HOURS: ONE WEEK IN JULY ;
BRIEF DESCRIPTION OF DUTIES: ORGANIZE AND COMMUNICATE WITH EQUINE PERFORMANCE GROUPS ;
CRS (Client Relationship Summary) - RIA
Click below to view Carolyn Ann Borgert'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
September 25, 2000 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 12 Orphanage Road Suite 2, Fort Mitchell, KY 41017RIA
CRD#: 105644
FORT MITCHELL, KY
Current
January 1, 2004 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 12 Orphanage Road Suite 2, Ft. Mitchell, KY 41017BD
CRD#: 10358
Ft. Mitchell, KY
Past
March 19, 1999 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
December 7, 1995 - October 26, 1998
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
Florida(1/16/2004)
RR
Indiana(1/1/2004)
IAR
Kentucky(9/25/2000)
RR
Kentucky(1/1/2004)
RR
Ohio(1/1/2004)
RR
Washington(8/15/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
