Joseph B. 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.
Joseph Brooke Borden, who also goes by B Borden, J Brooke Borden, J Borden, Joseph Borden, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 7TO, Series 79, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2025 - July 10, 2026
FINALIS SECURITIES LLC
January 4, 2023 - March 10, 2025
ROCKET DOLLAR CAPITAL, LLC
November 29, 2017 - November 26, 2018
BAKER TILLY CAPITAL, LLC
March 20, 2008 - November 17, 2008
AUSDAL FINANCIAL PARTNERS, INC.
January 14, 2003 - February 15, 2008
BAKER TILLY CAPITAL, LLC
November 17, 2000 - October 12, 2001
CYBERPLACEMENTS, LLC
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 7TO
Date: 5/18/2021
General Securities Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
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.
