Joseph B. Borden
Professional summary
Joseph Brooke Borden, who also goes by B Borden, J Brooke Borden, J Borden, Joseph Borden, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 5 firms and has passed the Series 63, SIE, Series 7TO, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Brooke Borden's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2025 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003January 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
(7/21/2025)
(7/21/2025)
(7/21/2025)
(7/21/2025)
(7/21/2025)
(7/21/2025)
(7/17/2025)
Exams
Series 7TO
Date: 5/18/2021
General Securities Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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