Tanner P. Borger
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.
Tanner Paul Borger, who also goes by Tanner P Borger, was a registered financial professional .
Tanner is a previously registered financial professional and started their career in finance in 2010. Tanner had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2018 - December 12, 2023
COMMERCE STREET INVESTMENT MANAGEMENT
September 20, 2016 - March 25, 2021
COMMERCE STREET CAPITAL, LLC
April 14, 2014 - September 7, 2016
FARMERS FINANCIAL SOLUTIONS, LLC
October 1, 2012 - December 18, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 18, 2013
J.P. MORGAN SECURITIES LLC
November 25, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 19, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
COMMERCE STREET INVESTMENT MANAGEMENT
CRD#: 144278 / SEC#: 801-68792
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/1/2022
General Securities Representative ExaminationSeries 6TO
Date: 10/1/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
COMMERCE STREET INVESTMENT MANAGEMENT
CRD#: 144278 / SEC#: 801-68792
Contact information
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76 |
| AUM (Assets Under Management) | $ 876,451,597 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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