David A. Borcherding

QUAD-CITIES INVESTMENT GROUP

DAVENPORT, IA

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CRD#: 4306798

Professional summary

David Allen Borcherding, who also goes by David A Borcherding, is a registered financial advisor currently at QUAD-CITIES INVESTMENT GROUP, LLC located in Davenport, Iowa.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 10 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David A Borcherding

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.

ROTARY CLUB OF IOWA QUAD CITIES; BOARD MEMBER, INVESTMENT COMMITTEE; AUTHORIZED BY INVESTMENT COMMITTEE AND ORGANIZATION TO SIGN DOCUMENTS AND PERFORM TRADES AS APPROVED BY COMMITTEE; 20 MINUTES PER WEEK/20 MINUTES PER WEEK DURING B/D HOURS START DATE 6/01/09 P.O. BOX 212 DAVENPORT, IA 52805 QUAD CITIES INVESTMENTS, LLC - FEE BASED INVESTMENT ADVISOR. FULL TIME. SECURITIES RELATED. 06/01/2009. 5177 UTICA RIDGE RIDE DAVENPORT, IA 52806. INVESTMENT ADVISOR REPRESENTATIVE. WWW.GOQCIG.COM. LIFE INSURANCE AND HEALTH INSURANCE. PART TIME. NOT SECURITIES RELATED. FIVE HOURS PER WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Borcherding'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

June 29, 2010 - Present

QUAD-CITIES INVESTMENT GROUP, LLC

RIA

CRD#: 154113

DAVENPORT, IA

Past

July 7, 2010 - June 7, 2013

SILVER OAK SECURITIES, INCORPORATED

CRD#: 46947

DAVENPORT, IA

Past

October 6, 2009 - July 1, 2010

CHICAGO INVESTMENT GROUP ADVISORS, LLC

RIA

CRD#: 148188

CHICAGO, IL

Past

October 5, 2009 - July 1, 2010

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

DAVENPORT, IA

Past

February 19, 2009 - October 6, 2009

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

BETTENDORF, IA

Past

August 12, 2006 - December 8, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DAVENPORT, IA

Past

August 12, 2006 - December 8, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DAVENPORT, IA

Past

May 18, 2005 - August 12, 2006

PIPER SANDLER & CO.

RIA

CRD#: 665

DAVENPORT, IA

Past

May 18, 2005 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

DAVENPORT, IA

Past

May 13, 2002 - August 14, 2003

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BETTENDORF, IA

Past

May 13, 2002 - August 14, 2003

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 28, 2002 - May 1, 2002

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

January 12, 2001 - January 8, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUAD-CITIES INVESTMENT GROUP, LLC

CRD#: 154113 / SEC#: 801-71612

RIA

Registered Investment Advisory firm - (6/28/2010 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/29/2010)

IAR

Iowa
(6/29/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/5/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/10/2001

General Securities Representative Examination

Current Firm

QUAD-CITIES INVESTMENT GROUP, LLC

CRD#: 154113 / SEC#: 801-71612

RIA

Registered Investment Advisory firm - (6/28/2010 Approved)

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Contact information

Main Address

5177 Utica Ridge Road, Davenport, IA 52807

Mailing Address

Phone number

(563) 484-5000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2017 ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,473
AUM (Assets Under Management)	$ 375,563,938

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.

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Advisor Monitoring

Firm Stability Insights

David A. Borcherding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Allen Borcherding's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVER OAK SECURITIES, INCORPORATED

CHICAGO INVESTMENT GROUP ADVISORS, LLC

CHICAGO INVESTMENT GROUP, LLC

STIFEL INDEPENDENT ADVISORS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

NYLIFE SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

QUAD-CITIES INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/2001

Series 7

Date: 1/10/2001

Current Firm

QUAD-CITIES INVESTMENT GROUP, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUAD-CITIES INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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