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Wayne Von Borstel

Von Borstel & Associates

The Dalles, OR

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Current Employers
Von Borstel & Associates

308 E 3Rd Street, The Dalles, OR 97058 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-07-10
WA RA APPROVED 2020-08-19
OR RA APPROVED 2020-08-04
  • TX RA
    APPROVED_RES
    Since 2023-07-10
  • WA RA
    APPROVED
    Since 2020-08-19
  • OR RA
    APPROVED
    Since 2020-08-04

Branch Locations

308 E 3Rd Street, The Dalles, OR 97058 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc The Dalles OR 07/2001 08/2020
Von Borstel & Associates, Inc. Portland OR 09/2014 03/2017
Financial Advocates Investment Management The Dalles OR 03/2017 08/2020
Von Borstel & Associates, Inc. The Dalles OR 08/2020 Present
  • 07/2001 → 08/2020
    Lpl Financial Llc
    The Dalles, OR
  • 09/2014 → 03/2017
    Von Borstel & Associates, Inc.
    Portland, OR
  • 03/2017 → 08/2020
    Financial Advocates Investment Management
    The Dalles, OR
  • 08/2020 → Present
    Von Borstel & Associates, Inc.
    The Dalles, OR
Previous Registrations
  • 2017-03-30 → 2020-08-31
    Financial Advocates Investment Management
    The Dalles, OR
    Portland, OR
    Olympia, WA
  • 1992-02-04 → 2017-04-25
    Von Borstel & Associates, Inc.
    The Dalles, OR
  • 2003-02-07 → 2016-09-08
    Lpl Financial Llc
    Portland, OR
    Redmond, OR
    The Dalles, OR
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-01-23
  • S63 Uniform Securities Agent State Law Examination
    1987-01-23
Designations
Other Names
  • Wayne Vonborstel

View on SEC IAPD

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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · The Dalles, OR
EAGLE STRATEGIES LLC · THE DALLES, OR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · The Dalles, OR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · THE DALLES, OR
EDWARD JONES · THE DALLES, OR
EDWARD JONES · BINGEN, WA
ONEDIGITAL · White Salmon, WA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · White Salmon, WA

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