Charles P. Borinsky
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.
Charles Phillip Borinsky, who also goes by Charles Philip Borinsky, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2005. Charles had worked at 9 firms and has passed the Series 66, Series 63, SIE 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
December 2, 2016 - September 14, 2017
ROSS, SINCLAIRE & ASSOCIATES, LLC
June 2, 2014 - December 3, 2014
OPPENHEIMER & CO. INC.
May 29, 2014 - December 3, 2014
OPPENHEIMER & CO. INC.
October 14, 2010 - October 18, 2013
INTL ADVISORY CONSULTANTS INC.
October 27, 2008 - September 14, 2009
INTL ADVISORY CONSULTANTS INC.
October 23, 2008 - October 18, 2013
STERNE, AGEE & LEACH, INC.
June 23, 2008 - October 2, 2008
HILLTOP SECURITIES INC.
October 1, 2007 - April 21, 2008
STRATEGIC ADVISERS LLC
September 12, 2007 - April 21, 2008
FIDELITY BROKERAGE SERVICES LLC
January 24, 2007 - August 6, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2007 - August 6, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 2006 - January 11, 2007
RBC CAPITAL MARKETS, LLC
March 16, 2005 - January 11, 2007
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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