Frederick H. Borden
Professional summary
Frederick Hughes Borden, CFP®, who also goes by Rick Borden, is a registered financial advisor currently at ON KEEL CAPITAL located in Mill Valley, California.
Frederick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Frederick has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 5, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Hughes Borden's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2013
Experience
January 1, 2021 - Present
ON KEEL CAPITAL
April 23, 2022 - December 12, 2023
SUTTER SECURITIES INCORPORATED
January 27, 2017 - December 14, 2019
EQUIUS PARTNERS, INC.
February 6, 2012 - December 31, 2016
ON KEEL CAPITAL, LLC
May 29, 2008 - December 31, 2011
ON KEEL CAPITAL, LLC
April 30, 2007 - August 21, 2007
URCHIN CAPITAL PARTNERS, LLC
February 9, 2001 - December 7, 2001
TRADEWINDS SECURITIES CORPORATION
January 21, 1986 - March 3, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
June 22, 1978 - March 18, 1985
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/1/2021)
Exams
Series 7TO
Date: 4/22/2022
General Securities Representative ExaminationSeries 5
Date: 3/23/1982
Interest Rate Options ExaminationSeries 40
Date: 11/28/1978
Registered Principal ExaminationCurrent Firm
ON KEEL CAPITAL
CRD#: 311185 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 6,476,547 |
Red Flags
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