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Alex Amner Borukhov

CRD# 4389429·Registered 2001 - 2008
Barred: Alex Amner Borukhov was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Alex Amner Borukhov was a registered financial advisor. Alex was a previously registered financial professional and started their career in finance 2001 - 2008. Alex had worked at 11 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years in the financial services industry

Current & Past Employments

FIRST MIDWEST SECURITIES, INC.·CRD# 21786
BD
Brooklyn, NY
May 14, 2008 - June 12, 2008
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Brooklyn, NY
March 19, 2008 - April 2, 2008
AURA FINANCIAL SERVICES, INC.·CRD# 42822
BD
Birmingham, AL
October 11, 2007 - February 14, 2008
WEDBUSH SECURITIES INC.·CRD# 877
BD
Pasadena, CA
June 22, 2007 - October 16, 2007
BROOKSTREET SECURITIES CORPORATION·CRD# 14667
BD
Great Neck, NY
July 19, 2006 - July 13, 2007
JOSEPH GUNNAR & CO. LLC·CRD# 24795
BD
New York, NY
December 16, 2005 - June 28, 2006
S.W. BACH & COMPANY·CRD# 43522
BD
New York, NY
June 9, 2004 - December 21, 2005
MAXIM GROUP LLC·CRD# 120708
BD
New York, NY
July 8, 2003 - June 29, 2004
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
September 27, 2002 - March 14, 2003
SCHNEIDER SECURITIES, INC.·CRD# 16434
BD
Denver, CO
April 9, 2002 - November 22, 2002
LADENBURG CAPITAL MANAGEMENT INC.·CRD# 14623
BD
Bethpage, NY
October 22, 2001 - March 26, 2002

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Current Firm

FM
FIRST MIDWEST SECURITIES, INC.

ABLESTRONG SECURITIES, INC. | FMSI ADVISERS | FIRST MIDWEST SECURITIES, INC.

CRD#: 21786 / SEC#: 801-67749, 8-38139
BD
Cancelled by SEC on 09/28/2017

Contact Information

Established

Wisconsin since 03/02/1987

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

FMSI BROCHURE 20141111 (3/26/2015)

Direct owners and executive officers

NamePositionCRD#
THE INVESTMENT CO., INC.HOLDING CORP.—
CROSSON, GORDON SCOTTRIA CCO/AML CO1068512
LINNA, JAMESCHAIRMAN/CEO0252013/MUNI PRINCIPAL 11/2014733321
SUTTON, KELLYOPERATIONS PRINCIPAL/VP/COO/ROSFP-OPTIONS MANAGER/CCO2033974
TRACTENBERG, ELIZABETH MARIEFINOP4577334

Disclosures

Regulatory Event

9

Arbitration

3

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2001About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 2001About the Series 7 exam

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CRS (Client Relationship Summary)

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

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