Marc I. Borden

CIBC WORLD MARKETS

Houston, TX 77002

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CRD#: 5381119

Professional summary

Marc I Borden, who also goes by Marc I. Borden, Marc Ian Borden, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in Houston, Texas.

Marc is registered as a RR (Registered Representative) and started their career in finance in 2007. Marc has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marc I. Borden | Marc Ian Borden

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 Marc I Borden'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

October 5, 2022 - Present

CIBC WORLD MARKETS CORP.

Office #1: 1001 Fannin Street Suite 4450, Houston, TX 77002

CRD#: 630

Houston, TX

Past

August 29, 2016 - September 25, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

HOUSTON, TX

Past

October 1, 2008 - June 16, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 27, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(10/5/2022)

Texas
(10/5/2022)

Exams

State Security Law Exam

Series 63

Date: 9/2/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/29/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 86

Date: 9/4/2007

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 8/31/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/24/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CIBC WORLD MARKETS CORP.

CIBC OPPENHEIMER | OPPENHEIMER & CO., INC. | CIBC WORLD MARKETS CORP. | CIBC WORLD MARKETS | CIBC OPPENHEIMER CORP.

CRD#: 630 / SEC#: , 8-18333

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

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Contact information

Main Address

300 Madison Avenue Sixth Floor, New York, NY 10017

Mailing Address

300 Madison Avenue Sixth Floor, New York, NY 10017

Phone number

(212) 856-4000

Established

Delaware since 07/31/1969

Firm type

Corporation

Fiscal year end

October

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CIBC INC.	100% SHAREHOLDER
CONSOLA, PATRICK D	CHIEF COMPLIANCE OFFICER	1133831
DUBCZAK, ROMAN STEPAN	DIRECTOR	5511542
GRIFFITH, MARVIN SCOTT	PRINCIPAL FINANCIAL OFFICER	1670889
PERRY, ACHILLES M	GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR	4183476
PRICE, ERIC S	CHIEF EXECUTIVE OFFICER & PRESIDENT	1985843
TRABOULSI, ALFRED	MANAGING DIRECTOR, HEAD US INVESTMENT BANKING	6594715
ZELLERMAYER, MICHAEL	PRINCIPAL OPERATIONS OFFICER	1662785

Disclosures

Regulatory Event	76
Arbitration	86

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Marc I. Borden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc I Borden's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/2/2016

SIE

Date: 10/1/2018

Series 79

Date: 8/29/2016

Series 86

Date: 9/4/2007

Series 87

Date: 8/31/2007

Series 7

Date: 8/24/2007

FINRA

Current Firm

CIBC WORLD MARKETS CORP.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CIBC WORLD MARKETS CORP.

TRUST BUT VERIFY

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