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Paul Anthony Borges

Paul A. Borges

BORGES FINANCIAL
Brookfield, WI
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CRD#: 5704166
Paul Anthony Borges

Professional summary

Paul Anthony Borges, CFP® is a registered financial advisor currently at BORGES FINANCIAL located in Brookfield, Wisconsin.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Paul has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

What are your service offerings?
Tax Planning
Retirement Planning
Investment Planning
Comprehensive Financial Planni...
Socially Responsible Investing
Do you have an area of expertise or specialization?
ExPat and Cross Border Issues
Fixed Fee (Subscription, Retai...
Investment Advice with Ongoing...
Investment Advice without Ongo...
Socially Responsible Investmen...
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes

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.
Borges Financial LLC; Founder/Principal; start: 01/2021; investment related; Investment consulting to financial advisors/RIAs; 50 hrs/mo; 0 during securities trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Anthony Borges'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®
CFP®

Certified Financial Planner

Start date: 2020

Experience

Current

January 22, 2021 - Present

BORGES FINANCIAL

RIA
CRD#: 311906
Brookfield, WI
Past

January 23, 2024 - October 21, 2024

CONTRA INVESTMENTS LLC

RIA
CRD#: 313230
Brookfield, WI
Past

November 3, 2021 - April 17, 2023

ORIGIN INVESTMENT ADVISORY LLC

RIA
CRD#: 305353
Brookfield, WI
Past

March 20, 2014 - August 26, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CHICAGO, IL
Past

March 20, 2014 - August 26, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
CHICAGO, IL
Past

February 2, 2012 - November 27, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
HIGHLAND PARK, IL
Past

February 2, 2012 - November 27, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
HIGHLAND PARK, IL
Past

December 6, 2010 - December 8, 2010

EDWARD JONES

RIA
CRD#: 250
ST LOUIS, MO
Past

November 19, 2010 - December 8, 2010

EDWARD JONES

BD
CRD#: 250
ST LOUIS, MO

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
Texas
(1/25/2022)
IAR
Wisconsin
(1/22/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/3/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/26/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/2010
General Securities Representative Examination

Current Firm

BORGES FINANCIAL
BORGES FINANCIAL
BORGES FINANCIAL | BORGES FINANCIAL LLC

CRD#: 311906 / SEC#:

Texas
Registered Investment Advisory firm - (1/11/2022 Conditional Restricted)
Wisconsin
Registered Investment Advisory firm - (1/22/2021 Approved)
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Contact information

Main Address
Brookfield, WI
Mailing Address
Phone number
(262) 229-7193
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

BORGES FINANCIAL

BORGES FINANCIAL

CRD#: 311906Brookfield, WI

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