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AB

Alan P. Borrelli

Some features on this profile are disabled
CRD#: 2655912
AB

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.

Alan Pasquale Borrelli, who also goes by Alan P Borrelli, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1998. Alan had worked at 11 firms and has passed the SIE, Series 7, Series 27 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan P Borrelli

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 5, 2019 - June 27, 2023

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

October 3, 2011 - January 20, 2016

MERUS CAPITAL PARTNERS, LLC

BD
CRD#: 158884
NEW YORK, NY
Past

November 9, 2009 - April 18, 2011

QUAD CAPITAL, LLC

BD
CRD#: 148927
NEW YORK, NY
Past

April 14, 2009 - August 14, 2009

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

October 7, 2008 - April 15, 2009

ELEVATION, LLC

BD
CRD#: 140341
CHARLOTTE, NC
Past

August 2, 2007 - September 15, 2008

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

November 9, 2006 - January 15, 2008

COLLINS STEWART INC.

BD
CRD#: 47414
NEW YORK, NY
Past

January 8, 2005 - December 5, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

January 12, 2004 - January 21, 2005

BURLINGTON CAPITAL MARKETS INC.

BD
CRD#: 26991
NEW YORK, NY
Past

August 27, 2001 - January 2, 2004

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

October 30, 1998 - June 12, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

May 14, 1998 - September 3, 1998

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/20/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/15/2001
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/28/1998
Registered Options Principal Examination

Current Firm

BC
BAY CREST PARTNERS, LLC
AFC PARTNERS, LLC | BAY CREST PARTNERS, LLC

CRD#: 39944 / SEC#: , 8-48931

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 Wall Street 42nd Floor, New York, NY 10005
Mailing Address
40 Wall Street 42nd Floor, New York, NY 10005
Phone number
(212) 480-1400
Established
New York since 12/20/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FREEDOM HOLDING GROUP, LLCSOLE LLC MEMBER
CARBONARA, LISACCO5227955
MULLIGAN, WILLIAM PETER JR.GENERAL SECURITIES PRINCIPAL, LLC MANAGER, CEO1614209
SCHEUERMANN, JOSEPH PHILIPCOO3273673
SCHEUERMANN, JOSEPH PHILIPPFO, POO, FINOP3273673
WEISS, NICHOLAS DANIELROP2856151

Disclosures

Regulatory Event16

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BAY CREST PARTNERS, LLC

CRD#: 39944

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