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JB

Josh D. Borg

CAPITOLIS GLOBAL BROKER DEALER
NEW YORK, NY 10036
CRD#: 4598616
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JB
Josh David BorgCAPITOLIS GLOBAL BROKER DEALER

Professional summary

Josh David Borg is a registered financial professional currently at CAPITOLIS GLOBAL BROKER DEALER LLC located in New York, New York.

Josh is registered as a RR (Registered Representative) and started their career in finance in 2002. Josh has worked at 4 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

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 Josh David Borg'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

June 3, 2026 - Present

CAPITOLIS GLOBAL BROKER DEALER LLC

Office #1: 11 W. 42nd Street 15th Floor, New York, NY, 10036
BD
CRD#: 325346
NEW YORK, NY
Past

March 31, 2017 - October 26, 2023

AVALON SECURITIES, LTD.

BD
CRD#: 30522
NEW YORK, NY
Past

January 2, 2012 - April 2, 2015

SHARENETT SECURITIES LLC

BD
CRD#: 151011
NEW YORK, NY
Past

December 5, 2002 - October 25, 2010

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/26/2008
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/19/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CG
CAPITOLIS GLOBAL BROKER DEALER LLC
CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346 / SEC#: , 8-71056

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

Main Address
11 W. 42nd Street 15th Floor, New York, NY, 10036
Mailing Address
11 W. 42nd Street 15th Floor, New York, NY, 10036
Phone number
(212) 388-5201
Established
Delaware since 02/01/2023
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
ESL FUNDING LLCGENERAL MEMBER
BAPTISTE, LINDSEY KATHLEENCHIEF FINANCIAL OFFICER, FINOP AND MANAGER5714590
BORER, JON ACHIEF COMPLIANCE OFFICER6374938
DROUMENQ, THOMASCHIEF EXECUTIVE OFFICER4871722
WEXLER, STUART JOELGENERAL COUNSEL
WILSON, CHARLENE FAITHFINOP1935747

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

CAPITOLIS GLOBAL BROKER DEALER LLC

CRD#: 325346New York, NY 10036

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