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ES

Emil S. Shiffman Borggren

HODES WEILL SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 7793010
ES

Professional summary

Emil Sidney Shiffman Borggren, who also goes by Emil Borggreu, Emil Shiffman, Emil Sidney Shiffman Borggreu, is a registered financial professional currently at HODES WEILL SECURITIES, LLC located in New York, New York.

Emil is registered as a RR (Registered Representative) and started their career in finance in 2024. Emil has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Emil Borggreu | Emil Shiffman | Emil Sidney Shiffman Borggreu

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) - BD

Click below to view Emil Sidney Shiffman Borggren'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®
None

Experience

Current

August 15, 2024 - Present

HODES WEILL SECURITIES, LLC

Office #1: 825 Third Avenue 15th Floor, New York, NY 10022Office #2: 825 Third Ave 15th Floor, New York, NY 10022
BD
CRD#: 131848
New York, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(8/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/15/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/18/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

HW
HODES WEILL SECURITIES, LLC
HODES WEILL SECURITIES, LLC | JAPANWORKS CAPITAL, LLC

CRD#: 131848 / SEC#: , 8-66518

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

Main Address
825 Third Ave 15th Floor, New York, NY 10022
Mailing Address
825 Third Ave 15th Floor, New York, NY 10022
Phone number
(212) 542-5977
Established
Utah since 12/28/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HODES WEILL & ASSOCIATES, LPPARENT
BLECHNER, MYLESCCO2709013
CAMPBELL, ROBERTFINOP1349154
WEILL, DOUGLAS MICHAELEXEC. REP, MANAGING PARTNER2408551

Disclosures

Regulatory Event1

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

HODES WEILL SECURITIES, LLC

CRD#: 131848New York, NY 10022

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