Peter T. Borghi
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.
Peter Thomas Borghi, CIMA® was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1979. Peter had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 24 and Series 26 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, 2018 - November 6, 2019
MORRIS GROUP, INC.
June 30, 2015 - December 31, 2017
MORRIS GROUP ADVISORY SERVICE, INC
June 29, 2015 - December 31, 2016
MORRIS GROUP, INC.
October 18, 2006 - July 5, 2013
BLACKROCK INVESTMENTS, LLC
May 30, 2006 - July 5, 2013
BLACKROCK FINANCIAL MANAGEMENT, INC
October 6, 2005 - May 31, 2006
BLACKROCK CAPITAL MANAGEMENT, INC.
July 8, 1993 - October 18, 2006
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
December 23, 1986 - June 15, 1993
MFS FINANCIAL SERVICES, INC.
December 7, 1979 - January 9, 1987
MASSACHUSETTS FINANCIAL SERVICES COMPANY
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: 12/1/1979
Registered Representative ExaminationCurrent Firm
MORRIS GROUP, INC.
CRD#: 13181 / SEC#: , 8-28916
Contact information
FINRA licenses (2 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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