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ANNA LEA BORGMAN
ANNA BORGMAN, CHANA ALIZA BORGMAN, CHANA BORGMAN, Anna Lea Borgman, Chana Borgman…
CRD#: 5171241
IA
B
MML INVESTORS SERVICES, LLCCRD#: 10409 150 E Palmetto Park Road
Suite 800
Boca Raton, FL 33432
Suite 800
Boca Raton, FL 33432
0
Disclosures
12
Years of Experience
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State Registrations
B
California 3/15/2019
B
New Jersey 9/9/2016
IA
Florida 8/19/2016
B
New York 9/9/2016
B
Florida 8/24/2016
B
Virginia 5/20/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 8/19/2016
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Registered with this firm since 8/24/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/23/2016 - 10/18/2016 | MIAMI, FL | |
IA | 04/15/2010 - 07/15/2011 | SUFFERN, NY | |
B | 04/28/2010 - 07/15/2011 | ATLANTA, GA | |
IA | 08/05/2010 - 12/14/2010 | MAPLEWOOD, NJ | |
B | 11/27/2007 - 04/28/2008 | SPRINGFIELD, MA | |
IA | 09/27/2007 - 04/17/2008 | NEW YORK, NY | |
B | 06/29/2006 - 08/27/2007 | NEW YORK, NY |
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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.
IA
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.