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DB

Dean R. Borgh

ALPS DISTRIBUTORS
Scottsdale, AZ 85251
Some features on this profile are disabled
CRD#: 2965768
DB

Professional summary

Dean Robert Borgh is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Scottsdale, Arizona.

Dean is registered as a RR (Registered Representative) and started their career in finance in 1998. Dean has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dean Robert Borgh'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®
None

Experience

Current

March 11, 2024 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 6710 E. Camelback Suite 100, Scottsdale, AZ 85251
BD
CRD#: 16853
Scottsdale, AZ
Past

February 11, 2019 - March 5, 2024

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

October 31, 2017 - January 4, 2019

STARWOOD CAPITAL, L.L.C.

BD
CRD#: 146057
GREENWICH, CT
Past

April 2, 2013 - July 24, 2017

CAREY FINANCIAL, LLC

BD
CRD#: 15246
NEW YORK, NY
Past

September 24, 2012 - April 2, 2013

WELLS INVESTMENT SECURITIES,INC.

BD
CRD#: 15252
NORCROSS, GA
Past

November 28, 2006 - May 24, 2012

WELLS INVESTMENT SECURITIES,INC.

BD
CRD#: 15252
NORCROSS, GA
Past

April 14, 2004 - December 1, 2006

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
MINNEAPOLIS, MN
Past

June 16, 1998 - April 16, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(3/11/2024)
RR
Alaska
(3/11/2024)
RR
Arizona
(3/11/2024)
RR
Arkansas
(3/11/2024)
RR
California
(3/11/2024)
RR
Colorado
(3/11/2024)
RR
Connecticut
(3/11/2024)
RR
Delaware
(3/11/2024)
RR
District of Columbia
(3/11/2024)
RR
Florida
(3/11/2024)
RR
Georgia
(3/11/2024)
RR
Hawaii
(3/11/2024)
RR
Idaho
(3/11/2024)
RR
Illinois
(3/11/2024)
RR
Indiana
(3/11/2024)
RR
Iowa
(3/11/2024)
RR
Kansas
(3/11/2024)
RR
Kentucky
(3/11/2024)
RR
Louisiana
(3/11/2024)
RR
Maine
(3/11/2024)
RR
Maryland
(3/11/2024)
RR
Massachusetts
(3/11/2024)
RR
Michigan
(3/11/2024)
RR
Minnesota
(3/11/2024)
RR
Mississippi
(3/11/2024)
RR
Missouri
(3/11/2024)
RR
Montana
(3/11/2024)
RR
Nebraska
(3/11/2024)
RR
Nevada
(3/11/2024)
RR
New Hampshire
(3/11/2024)
RR
New Jersey
(3/11/2024)
RR
New Mexico
(3/11/2024)
RR
New York
(3/11/2024)
RR
North Carolina
(3/11/2024)
RR
North Dakota
(3/11/2024)
RR
Ohio
(3/11/2024)
RR
Oklahoma
(3/11/2024)
RR
Oregon
(3/11/2024)
RR
Pennsylvania
(3/11/2024)
RR
Rhode Island
(3/11/2024)
RR
South Carolina
(3/11/2024)
RR
South Dakota
(3/11/2024)
RR
Tennessee
(3/11/2024)
RR
Texas
(3/11/2024)
RR
Utah
(3/11/2024)
RR
Vermont
(3/11/2024)
RR
Virginia
(3/11/2024)
RR
Washington
(3/11/2024)
RR
West Virginia
(3/11/2024)
RR
Wisconsin
(3/11/2024)
RR
Wyoming
(3/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/23/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/16/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AD
ALPS DISTRIBUTORS, INC.
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1290 Broadway Suite 1000, Denver, CO 80203
Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203
Phone number
(303) 623-2577
Established
Colorado since 07/01/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALPS HOLDINGS, INC.PARENT
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
NECKEL, TARA JILLVP, DEPUTY CHIEF COMPLIANCE OFFICER4051739
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115

Disclosures

Regulatory Event4

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.

Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853Scottsdale, AZ 85251

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