Garry E. Borders
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.
Garry Everett Borders, who also goes by Garry E Borders, was a registered financial professional .
Garry is a previously registered financial professional and started their career in finance in 1985. Garry had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2019 - February 21, 2024
LPL FINANCIAL LLC
June 28, 2019 - February 21, 2024
LPL FINANCIAL LLC
January 22, 2018 - July 2, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 22, 2018 - July 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 14, 2014 - January 19, 2018
SECURITIES AMERICA ADVISORS, INC.
November 14, 2014 - January 19, 2018
SECURITIES AMERICA, INC.
November 25, 2009 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
November 25, 2009 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
September 14, 2007 - December 1, 2009
INSPHERE SECURITIES, INC.
July 20, 2007 - December 1, 2009
INSPHERE SECURITIES, INC.
December 13, 2005 - September 14, 2007
ALLEGIS ADVISORS, INC.
September 22, 1999 - December 6, 2005
EQUITY SERVICES, INC.
September 28, 1998 - August 9, 2007
EQUITY SERVICES, INC.
August 3, 1990 - September 25, 1998
TITAN/VALUE EQUITIES GROUP, INC.
September 8, 1989 - August 7, 1990
CETERA WEALTH SERVICES, LLC
March 26, 1985 - September 11, 1989
BOARDWALK CAPITAL CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 1
Date: 1/25/1975
Registered Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
