Best Investors Account Sign in
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2000-03-13
FL RA APPROVED 1999-10-15
  • TX RA
    APPROVED_RES
    Since 2000-03-13
  • FL RA
    APPROVED
    Since 1999-10-15

Branch Locations

1190 W Marion Ave, Punta Gorda, FL 33950 • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pf & S Inc. 1190 W. Marion Ave FL 07/1999 Present
Bank Of America, Na Punta Gorda FL 09/2009 Present
  • 07/1999 → Present
    Merrill Lynch Pf & S Inc.
    1190 W. Marion Ave, FL
  • 09/2009 → Present
    Bank Of America, Na
    Punta Gorda, FL
Other Businesses

1) I*34238 For profit or not for profit: For-Profit Organization Name of outside business organization: Borrego Brothers LLC Investment related: N Address of business: Punta Gorda, Florida 33982 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 7/1/2008 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Partner 2)I*44015 For profit or not for profit: For-Profit Organization Name of outside business organization: Borrego Familly LLC Investment related: N Address of business: Sarasota, Florida 34239 Nature of business: LLC, Position, title, association: Limited Partner, Start date of relationship: 1/3/2011 Number of hours devoted: 1 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Family owned LLC. It holds a vacant parcel of land in Sarasota Florida. 4)I*71553 For profit or not for profit: For-Profit Organization Name of outside business organization: In The Paint, Inc. Investment related: N Address of business: Punta Gorda, Florida 33982 Nature of business: S-Corp, Position, title, association: Officer, Start date of relationship: 11/13/2000 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: This is my wifes business which consists of raising and training horses. I*81101 For profit or not for profit: Non-Profit Organization Name of outside business organization: It's Our Turn, Inc. Investment related: N Address of business: Punta Gorda, Florida 33983 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 3/3/2015 Number of hours devoted: 2 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: THis is a local not for profit that helps our Local Veterans. I*7727 For profit or not for profit: Name of outside business organization: Roy & K Borrego Investment related: Address of business: Punta Gorda, Florida 33950 Nature of business: , rental property Position, title, association: , Start date of relationship: 03/15/2019 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 Duties: I*123211 For profit or not for profit: For-Profit Organization Name of outside business organization: Borrego Brothers LLC Investment related: N Address of business: Punta Gorda, Florida 33950 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 7/1/2008 Number of hours devoted: 7 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Family business. We own rental properties. Partner.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-11-16
  • S66 Uniform Combined State Law Examination
    1999-11-16
Other Names
  • Roy Borrego

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Punta Gorda, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor