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PB

Peter L. Borges

EDGELINE CAPITAL.
Los Angeles, CA 90049
Some features on this profile are disabled
CRD#: 4515472
PB

Professional summary

Peter Lopes Borges is a registered financial professional currently at EDGELINE CAPITAL, LLC. located in Los Angeles, California.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2003. Peter has worked at 4 firms and has passed the Series 63, SIE and Series 22 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 Peter Lopes Borges'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

October 5, 2020 - Present

EDGELINE CAPITAL, LLC.

Office #1: 11726 San Vicente Blvd. Suite 610, Los Angeles, CA 90049
BD
CRD#: 152774
Los Angeles, CA
Past

June 2, 2014 - December 31, 2021

LIGHTPATH CAPITAL, INC

BD
CRD#: 34617
SOUTHLAKE, TX
Past

April 5, 2012 - June 11, 2012

REGENT CAPITAL GROUP, INC.

BD
CRD#: 126881
WESTLAKE VILLAGE, CA
Past

May 12, 2003 - January 26, 2010

DAV/WETHERLY FINANCIAL, L.P.

BD
CRD#: 119951
LOS ANGELES, CA

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
California
(10/5/2020)
RR
Louisiana
(10/26/2020)
RR
New York
(2/25/2023)
RR
Texas
(10/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2008
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 22
Date: 5/9/2003
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EC
EDGELINE CAPITAL, LLC.
EDGELINE CAPITAL, LLC.

CRD#: 152774 / SEC#: , 8-68475

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

Main Address
11726 San Vicente Blvd. Suite 610, Los Angeles, CA 90049
Mailing Address
11726 San Vicente Blvd. Suite 610, Los Angeles, CA 90049
Phone number
(310) 442-0595
Established
Delaware since 08/26/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 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#
EDGELINE CAPITAL PARTNERS, LLCOWNER
EPSTEIN, DAN JAYMANAGING DIRECTOR2625166
FISHER, DAMON SCOTTPRESIDENT/MANAGING MEMBER1948121
UCCIFERRI, LOUIECCO/FINOP1156956

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

EDGELINE CAPITAL, LLC.

CRD#: 152774Los Angeles, CA 90049

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