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Michael C. Borja

COMPASS POINT RESEARCH & TRADING
Washington, DC 20007
Some features on this profile are disabled
CRD#: 3025763
MB

Professional summary

Michael Cabiling Borja, who also goes by Michael C Borja, Michael Cabling Borja, is a registered financial professional currently at COMPASS POINT RESEARCH & TRADING, LLC located in Washington, District Of Columbia.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 5 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael C Borja | Michael Cabling Borja

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 Michael Cabiling Borja's CRS (Customer Relationship Summary).
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 21, 2023 - Present

COMPASS POINT RESEARCH & TRADING, LLC

Office #1: 1055 Thomas Jefferson St., Nw, Suite 303, Washington, DC 20007
BD
CRD#: 126258
Washington, DC
Past

November 9, 2015 - March 13, 2018

MLV & CO. LLC

BD
CRD#: 150959
Arlington, VA
Past

April 12, 2012 - March 13, 2018

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

October 25, 2006 - November 8, 2011

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
LOS ANGELES, CA
Past

February 21, 2006 - October 12, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 19, 2001 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

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
District of Columbia
(3/21/2023)

Exams

General Industry/Product Exam
RR
SIE
Date: 3/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CP
COMPASS POINT RESEARCH & TRADING, LLC
COMPASS POINT | COMPASS POINT RESEARCH & TRADING, LLC

CRD#: 126258 / SEC#: , 8-65866

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

Main Address
1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007
Mailing Address
1055 Thomas Jefferson Street, Nw Suite 303, Washington, DC 20007
Phone number
(202) 540-7300
Established
Delaware since 01/25/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (33 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SOONER HOLDINGS, LLCHOLDING COMPANY
DOERR, MANDY MULLERFINANCIAL AND OPERATIONS PRINCIPAL (FINOP)4988605
DREYER, SCOTT ERICEXECUTIVE CHAIRMAN717434
GRANT, KEVIN STEWARTCHIEF COMPLIANCE OFFICER6383394
HAYES, BURKE FROST JRCEO3211858
NEALON, CHRISTOPHER ALLENCHIEF OPERATING OFFICER2447167
NICOLL, ROBERT ANDREWMEMBER2826685
SHEEDY, THOMAS WILLIAMMEMBER1777044

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

COMPASS POINT RESEARCH & TRADING, LLC

CRD#: 126258Washington, DC 20007

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