Christopher M. Borsellino
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.
Christopher Michael Borsellino, who also goes by Chris M Lester, Christopher Scheall, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
February 24, 2015 - August 13, 2015
INTERNATIONAL ASSETS ADVISORY, LLC
February 20, 2015 - August 13, 2015
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
June 8, 2007 - November 10, 2014
CITIZENS SECURITIES, INC.
June 8, 2007 - November 10, 2014
CITIZENS SECURITIES, INC.
July 6, 2005 - June 4, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - June 4, 2007
CHASE INVESTMENT SERVICES CORP.
April 19, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
December 15, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 30, 2003 - December 17, 2004
UBS FINANCIAL SERVICES INC.
September 26, 2003 - December 17, 2004
UBS FINANCIAL SERVICES INC.
July 17, 2001 - September 30, 2003
MORGAN STANLEY DW INC.
April 16, 2001 - September 30, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
Current Firm
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
