Dean R. Borgh
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.
Dean Robert Borgh was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1998. Dean had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 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
March 11, 2024 - May 14, 2026
ALPS DISTRIBUTORS, INC.
February 11, 2019 - March 5, 2024
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
October 31, 2017 - January 4, 2019
STARWOOD CAPITAL, L.L.C.
April 2, 2013 - July 24, 2017
CAREY FINANCIAL, LLC
September 24, 2012 - April 2, 2013
WELLS INVESTMENT SECURITIES,INC.
November 28, 2006 - May 24, 2012
WELLS INVESTMENT SECURITIES,INC.
April 14, 2004 - December 1, 2006
TRANSAMERICA CAPITAL, LLC
June 16, 1998 - April 16, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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