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AB

Alex A. Borukhov

Some features on this profile are disabled
CRD#: 4389429
AB

Professional summary

Alex Amner Borukhov was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Alex is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Alex had worked at 11 firms, which includes FIRST MIDWEST SECURITIES INC., J.P. TURNER & COMPANY L.L.C., AURA FINANCIAL SERVICES INC., WEDBUSH SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, JOSEPH GUNNAR & CO. LLC, S.W. BACH & COMPANY, MAXIM GROUP LLC, GUNNALLEN FINANCIAL INC, SCHNEIDER SECURITIES INC., LADENBURG CAPITAL MANAGEMENT INC..

top-8-questions

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

May 14, 2008 - June 12, 2008

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
BROOKLYN, NY
Past

March 19, 2008 - April 2, 2008

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
BROOKLYN, NY
Past

October 11, 2007 - February 14, 2008

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
BIRMINGHAM, AL
Past

June 22, 2007 - October 16, 2007

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

July 19, 2006 - July 13, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
GREAT NECK, NY
Past

December 16, 2005 - June 28, 2006

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
NEW YORK, NY
Past

June 9, 2004 - December 21, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
NEW YORK, NY
Past

July 8, 2003 - June 29, 2004

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

September 27, 2002 - March 14, 2003

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

April 9, 2002 - November 22, 2002

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

October 22, 2001 - March 26, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, 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

State Security Law Exam
RR
Series 63
Date: 12/17/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/2001
General Securities Representative Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Wisconsin since 03/02/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

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 Event9
Arbitration3

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

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

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