Silvio Borrero
Professional summary
Silvio Borrero was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Silvio Borrero, CFP®, who also goes by Silvio Borrero Arias, Silvio Borrero-arias, was a registered financial professional .
Silvio is a previously registered financial professional and started their career in finance in 2006. Silvio had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
January 30, 2023 - October 10, 2024
MML INVESTORS SERVICES, LLC
December 22, 2022 - October 10, 2024
MML INVESTORS SERVICES, LLC
April 11, 2017 - December 16, 2022
OPPENHEIMER & CO. INC.
April 7, 2017 - December 16, 2022
OPPENHEIMER & CO. INC.
December 10, 2013 - April 17, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 9, 2013 - April 17, 2017
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - June 14, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - June 14, 2013
J.P. MORGAN SECURITIES LLC
November 19, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 20, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 20, 2008 - September 23, 2010
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2006 - October 9, 2008
WAMU INVESTMENTS, INC.
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
