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Wayne Von Borstel

VON BORSTEL & ASSOCIATES, INC.·THE DALLES, Oregon
SIE, Series 2, Series 6, Series 7, Series 24, Series 31, Series 63ChFC34 years registeredVON BORSTEL & ASSOCIATES, INC.
308 E 3RD STREET, THE DALLES, OR 97058CRD# 1419351Firm CRD# 309746

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Wayne Von Borstel · THE DALLES, OR
Registration
CRD #1419351 · VON BORSTEL & ASSOCIATES, INC. · 34 years registered
Brand Profile
Not yet started
01

Career History

VON BORSTEL & ASSOCIATES
Aug 2020 – present
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT
Mar 2017 – Aug 2020
The Dalles, OR
LPL FINANCIAL LLC
Feb 2003 – Sep 2016
THE DALLES, OR
VON BORSTEL & ASSOCIATES, INC.
Feb 1992 – Apr 2017
THE DALLES, OR
02

Registrations & Exams

FINRA examinations passed
SIE
Series 2
Series 6
Series 7
Series 24
Series 31
Series 63
Registration record
First registered · February 4, 1992
Years registered · 34
Professional designation · ChFC
03

Disclosure History

2022Regulatory·Final
2020Employment Separation After Allegations
2012Regulatory·Final

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

04

Firm Overview

Firm
VON BORSTEL & ASSOCIATES, INC.
CRD 309746 · SEC 801-119041
AUM
$504M
Regulatory assets under management
Employees
9
2,079 client accounts
Services offered by VON BORSTEL & ASSOCIATES, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Charitable organization or education services
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
Nonprofits & Foundations
View all advisors at VON BORSTEL & ASSOCIATES, INC. →
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05

Frequently Asked Questions

What services does Wayne Von Borstel offer?
Wayne Von Borstel specializes in Financial Planning, Investment Management. Contact their office in THE DALLES, Oregon for a consultation.
What are Wayne Von Borstel's credentials?
Wayne Von Borstel holds the following professional designations: ChFC. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Wayne Von Borstel located?
Wayne Von Borstel is based in THE DALLES, Oregon, working with VON BORSTEL & ASSOCIATES, INC.. Their office serves clients in the THE DALLES metropolitan area and surrounding communities.
How does Wayne Von Borstel charge for services?
Wayne Von Borstel's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is VON BORSTEL & ASSOCIATES, INC.?
VON BORSTEL & ASSOCIATES, INC. has approximately 9 employees and manages $504M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at VON BORSTEL & ASSOCIATES, INC.

Sandra Hernandez
THE DALLES, OR

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