Barbara L. Borzillo
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.
Barbara L Borzillo, CFP®, who also goes by Barbara Lewis Borzillo, Barbara Lewis Dearmin, Barbara Aird Lewis, Barbara Aird Lewis Dearmin, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1979. Barbara had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2016 - July 12, 2022
VANGUARD ADVISERS, INC.
December 12, 2016 - July 12, 2022
VANGUARD MARKETING CORPORATION
October 1, 2014 - November 28, 2016
COMMONWEALTH FINANCIAL NETWORK
October 1, 2014 - November 28, 2016
COMMONWEALTH FINANCIAL NETWORK
February 5, 2013 - December 31, 2014
SIMS FINANCIAL SERVICES, LLC
January 15, 2003 - October 1, 2014
GIRARD INVESTMENT SERVICES, LLC
January 17, 2001 - January 2, 2003
GIRARD INVESTMENT SERVICES, LLC
January 27, 1994 - May 25, 1999
GIRARD INVESTMENT SERVICES, LLC
June 4, 1991 - June 1, 1992
FIDELITY DISTRIBUTORS COMPANY LLC
January 3, 1990 - May 31, 1991
FIDELITY DISTRIBUTORS CORPORATION
September 10, 1986 - December 31, 1989
FIDELITY BROKERAGE SERVICES LLC
August 1, 1985 - September 12, 1986
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
March 2, 1982 - March 14, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 21, 1979 - May 21, 1982
GIRARD INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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 8
Date: 4/16/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
