Claire M. Borrelli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Claire Marie Borrelli was a registered financial professional .
Claire is a previously registered financial professional and started their career in finance in 1985. Claire had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2016 - April 8, 2024
DINOSAUR FINANCIAL GROUP, L.L.C
December 2, 2014 - December 7, 2016
CANTONE RESEARCH INC.
September 26, 2007 - November 24, 2014
W.A. CAPITAL MARKETS
May 16, 2005 - September 26, 2007
SEABOARD SECURITIES, INC.
January 25, 1999 - May 10, 2005
W.A. CAPITAL MARKETS
November 17, 1992 - January 12, 1999
R.W. SMITH & ASSOCIATES, LLC
October 31, 1990 - October 30, 1992
GRUNTAL & CO., L.L.C.
January 23, 1990 - April 9, 1990
MONARCH FINANCIAL CORPORATION OF AMERICA
May 1, 1989 - January 25, 1990
GMS GROUP
September 8, 1986 - June 12, 1989
GLEN RAUCH SECURITIES, INC.
March 21, 1986 - July 8, 1986
TUCKER ANTHONY INCORPORATED
March 20, 1985 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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