Boris E. Pialloux
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.
Boris Eric Pialloux was a registered financial professional .
Boris is a previously registered financial professional and started their career in finance in 1998. Boris had worked at 8 firms and has passed the Series 65, Series 63, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2015 - April 5, 2016
TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.
August 1, 2011 - September 23, 2013
NATIONAL SECURITIES CORPORATION
October 13, 2009 - December 21, 2010
PORTALES PARTNERS, LLC
April 15, 2008 - April 13, 2009
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
January 18, 2006 - June 5, 2006
EXANE, INC.
April 29, 2003 - October 4, 2004
DEAM INVESTOR SERVICES, INC.
May 27, 1999 - May 9, 2001
UBS ASSET MANAGEMENT (US) INC.
February 25, 1998 - December 23, 1998
BOSTON PARTNERS SECURITIES, L.L.C.
State Registrations and Notice Filings
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Exams
Current Firm
TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.
CRD#: 110240 / SEC#: 801-60043
Contact information
Red Flags
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