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JB

Josh A. Boerger

Some features on this profile are disabled
CRD#: 5636255
JB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Josh Arthur Boerger was a registered financial professional .

Josh is a previously registered financial professional and started their career in finance in 2009. Josh had worked at 6 firms and has passed the Series 66, Series 65, Series 7TO, SIE and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 1, 2025 - July 1, 2025

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
ROCKVILLE, MD
Past

April 5, 2019 - June 19, 2020

Q3 ASSET MANAGEMENT CORPORATION

RIA
CRD#: 137839
BIRMINGHAM, MI
Past

August 15, 2017 - August 27, 2018

SEI INVESTMENTS MANAGEMENT CORP

RIA
CRD#: 105146
Saint Clair Shores, MI
Past

January 17, 2017 - March 31, 2017

FAIRLANE INVESTMENT ADVISORS INC

RIA
CRD#: 105624
DEARBORN, MI
Past

February 17, 2015 - November 30, 2016

LCM CAPITAL MANAGEMENT INC

RIA
CRD#: 111074
KENOSHA, WI
Past

January 12, 2010 - September 9, 2011

MORGAN STANLEY

RIA
CRD#: 149777
KALAMAZOO, MI
Past

December 11, 2009 - September 9, 2011

MORGAN STANLEY

BD
CRD#: 149777
KALAMAZOO, MI

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
IAR
Series 66
Date: 2/20/2025
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/11/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/13/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/2009
General Securities Representative Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

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

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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