Individual Firm
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JERICHO ALEXANDER BORGES
JERRY BORGES
CRD#: 3232322
IA
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CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 Miami, FL
View By:
5/9/2008
Customer Dispute
Denied
State Registrations
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Arizona 12/5/2024
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North Carolina 9/2/2021
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California 10/4/2024
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North Dakota 9/2/2021
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Colorado 9/2/2021
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Puerto Rico 9/2/2021
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Florida 10/4/2021
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Texas 9/2/2021
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Florida 10/4/2021
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Texas 9/2/2021
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New York 6/28/2023
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Virginia 6/22/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/2/2021
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Registered with this firm since 9/2/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/10/2011 - 09/08/2021 | MIAMI, FL | |
B | 11/07/2011 - 09/08/2021 | MIAMI, FL | |
IA | 04/06/2010 - 11/08/2011 | MIAMI, FL | |
B | 03/18/2010 - 11/08/2011 | MIAMI, FL | |
IA | 04/07/2005 - 03/16/2010 | CORAL GABLES, FL | |
B | 04/06/2005 - 03/16/2010 | CORAL GABLES, FL | |
IA | 10/01/2000 - 03/30/2005 | MIAMI, FL | |
B | 10/01/2000 - 03/30/2005 | ST. LOUIS, MO | |
B | 08/22/2000 - 10/01/2000 | CHARLOTTE, NC | |
B | 07/07/1999 - 07/21/2000 | NEW YORK, NY |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.