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Marc S. Boriosi

Some features on this profile are disabled
CRD#: 2980789
MB

Professional summary

Marc Stephen Boriosi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Marc is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Marc had worked at 9 firms, which includes WALLSTREET*E FINANCIAL SERVICES INC., MILLENNIUM BROKERAGE L.L.C., BASIC INVESTORS INC., NEWBRIDGE SECURITIES CORPORATION, LEIGH BALDWIN & CO. LLC, FIRST MONTAUK SECURITIES CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, UBS FINANCIAL SERVICES INC., AMERIPRISE ADVISOR SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

October 20, 2003 - January 19, 2004

WALLSTREET*E FINANCIAL SERVICES, INC.

BD
CRD#: 43896
CORAL GABLES, FL
Past

September 22, 2003 - September 24, 2003

MILLENNIUM BROKERAGE, L.L.C.

BD
CRD#: 47728
CHATHAM, NJ
Past

May 27, 2003 - October 10, 2003

BASIC INVESTORS INC.

BD
CRD#: 1187
MELVILLE, NY
Past

February 18, 2003 - May 27, 2003

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

February 12, 2002 - February 25, 2003

LEIGH BALDWIN & CO., LLC

BD
CRD#: 38751
CAZENOVIA, NY
Past

January 23, 2002 - February 11, 2002

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

December 5, 2000 - January 17, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 11, 1998 - October 19, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 10, 1997 - December 18, 1998

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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

State Security Law Exam
IAR
Series 65
Date: 1/26/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/10/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/1/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 12/9/1997
Municipal Securities Representative Examination

Current Firm

WF
WALLSTREET*E FINANCIAL SERVICES, INC.
WALLSTREET ELECTRONICA, INC. | WALLSTREETE FINANCIAL SERVICES | WALLSTREET*E FINANCIAL SERVICES, INC. | WALLSTREET*E

CRD#: 43896 / SEC#: , 8-50464

BD
Terminated by SEC on 02/20/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 08/15/1997
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OTALVARO, CARLOS FRANCISCOPRINCIPAL, FINOP, CCO, SROP/CROP2294420
OTALVARO, CARLOS NOECIO2942434

Disclosures

Regulatory Event8
Arbitration1

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

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

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