Travis R. Boren
Professional summary
Travis Ray Boren is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in San Francisco, California.
Travis is registered as a RR (Registered Representative) and started their career in finance in 2012. Travis has worked at 2 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Travis Ray Boren's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 505 Montgomery St. 11th Floor, San Francisco, CA 94111August 27, 2012 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/16/2023)
Exams
Series 7TO
Date: 12/26/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/26/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
