Carolyn Ann Borgert

Current Employers

Employment History

• 01/2004 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 03/1999 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1)NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/1995; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, VISION, DENTAL, & TRAVEL INSURANCE; 2) ROLEX LEX. 3-DAY EVENT, CHIEF OF FENCE JUDGES, CHIEF, SINCE 4/78, 8H/WEEK; 3) GROUP VOL.PROD, NOT IR, AGENT, SINCE 6/24/02, 1H/WEEK; 4) GROUP BENEFITS, NOT IR, AGENT, SINCE 10/00; 5)NAME OF OTHER BUSINESS: FEI INVESTMENT RELATED: NO ADDRESS: 817 ROGERS RD VILLA HILLS KY 41017 NATURE OF BUSINESS: HORSE SHOWING ASSOCIATION START DATE: 1992 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 8 POSITION/TITLE/RELATIONSHIP: TECHNICAL DELEGATE BRIEF DESCRIPTION OF DUTIES: RULE INTERPRETATION & CHIEF STEWARD 6)NAME OF OTHER BUSINESS: BREYERFEST INVESTMENT RELATED: NO ; ADDRESS: 817 ROGERS RD, VILLA HILLS KY 41017 ; NATURE OF BUSINESS: EQUESTRIAN ACTS START DATE: 07/2019 ; POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONTRACTOR ; APX NUMBER OF HOURS PER WEEK: ONE WEEK IN JULY ; APX NUMBER OF HOURS DURING TRADING HOURS: ONE WEEK IN JULY ; BRIEF DESCRIPTION OF DUTIES: ORGANIZE AND COMMUNICATE WITH EQUINE PERFORMANCE GROUPS ;

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-06-21
• S63 Uniform Securities Agent State Law Examination
  1995-12-08