Boris A. Borozan
Professional summary
Boris Alexandar Borozan is a registered financial professional currently at ASL CAPITAL MARKETS INC. located in Stamford, Connecticut.
Boris is registered as a RR (Registered Representative) and started their career in finance in 1988. Boris has worked at 7 firms and has passed the Series 63, Series 72, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Boris Alexandar Borozan's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 4, 2020 - Present
ASL CAPITAL MARKETS INC.
Office #1: 600 Summer Street Suite 402, Stamford, CT 06901June 7, 2013 - March 17, 2018
MFR SECURITIES, INC.
December 18, 2000 - November 17, 2011
HSBC SECURITIES (USA) INC.
September 26, 1994 - November 29, 2000
UBS FINANCIAL SERVICES INC.
February 19, 1991 - September 2, 1994
PORTIGON SECURITIES INC.
September 1, 1988 - February 25, 1989
S.G. WARBURG & CO. INC.
July 15, 1988 - September 1, 1988
S.G. WARBURG SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/4/2020)
(3/4/2020)
(3/4/2020)
(3/4/2020)
(3/4/2020)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 8
Date: 8/8/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
ASL CAPITAL MARKETS INC.
CRD#: 286115 / SEC#: , 8-69872
Contact information
FINRA licenses (50 States and Territories)
Documents
Red Flags
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