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DB

David C. Bordes

CULLEN INVESTMENT GROUP, LTD.
Lafayette, LA 70503
Some features on this profile are disabled
CRD#: 817884
DB

Professional summary

David Cullen Bordes is a registered financial advisor currently at CULLEN INVESTMENT GROUP, LTD. located in Lafayette, Louisiana.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. David has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 53, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view David Cullen Bordes's CRS (Customer Relationship Summary).
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

December 17, 2013 - Present

CULLEN INVESTMENT GROUP, LTD.

Office #1: 1404 S. College Rd., Lafayette, LA 70503
RIA
CRD#: 18266
Lafayette, LA
Past

August 21, 1987 - December 13, 2024

CULLEN INVESTMENT GROUP, LTD.

BD
CRD#: 18266
LAFAYETTE, LA
Past

April 4, 1983 - August 13, 1987

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

July 26, 1978 - April 18, 1983

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 28, 1976 - August 17, 1978

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

BD
CRD#: 414

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CULLEN INVESTMENT GROUP, LTD.
CORNERSTONE INVESTMENT GROUP | DCB INVESTMENT SECURITIES | CULLEN SECURITIES | CULLEN INVESTMENT GROUP, LTD. | CULLEN INVESTMENT GROUP | CULLEN ASSET MANAGEMENT | CORNERSTONE INVESTMENT GROUP, LTD

CRD#: 18266 / SEC#: 801-61265, 8-36372

RIA
Registered Investment Advisory firm - SEC (7/9/2002 Approved)
BD
Terminated by SEC on 12/14/2024

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Louisiana
(12/17/2013)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/28/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/4/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/1/1988
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/22/1987
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/1986
General Securities Principal Examination

Current Firm

CI
CULLEN INVESTMENT GROUP, LTD.
CORNERSTONE INVESTMENT GROUP | DCB INVESTMENT SECURITIES | CULLEN SECURITIES | CULLEN INVESTMENT GROUP, LTD. | CULLEN INVESTMENT GROUP | CULLEN ASSET MANAGEMENT | CORNERSTONE INVESTMENT GROUP, LTD

CRD#: 18266 / SEC#: 801-61265, 8-36372

RIA
Registered Investment Advisory firm - SEC (7/9/2002 Approved)
BD
Terminated by SEC on 12/14/2024
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1404 S. College Rd., Lafayette, LA 70503
Mailing Address
P.o. Box 53669, Lafayette, LA 70505-3669
Phone number
(337) 237-8000
Established
Louisiana since 10/15/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9

SEC notice filing (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CULLEN INVESTMENT GROUP - DISCLOSURE BROCHURE (FORM ADV PART 2A) (1/14/2025)

Direct owners and executive officers

NamePositionCRD#
BORDES, DAVID CULLENPRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, SUPERVISORY PRINCIPAL OF BRANCH OFFICES817884
NICKEL, STEPHEN LLOYDVICE PRESIDENT AND DIRECT OWNER4305828

Regulatory assets under management

Total Number of Accounts1,424
AUM (Assets Under Management)$ 795,470,355

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

CULLEN INVESTMENT GROUP, LTD.

CRD#: 18266Lafayette, LA 70503

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Contact information

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