SB
Sean M. Borella
AQR INVESTMENTS
Austin, TX 78737
Some features on this profile are disabled
CRD#: 6007271
SB
Professional summary
Sean Michael Borella is a registered financial professional currently at AQR INVESTMENTS, LLC located in Austin, Texas.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2013. Sean has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 6 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Borella's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 28, 2024 - Present
AQR INVESTMENTS, LLC
Office #1: Nutty Brown Business Park 12707 Nutty Brown Rd., Suite A10, Austin, TX 78737BD
CRD#: 289244
Austin, TX
Past
June 29, 2017 - December 9, 2025
PGIM QUANTITATIVE SOLUTIONS
RIA
CRD#: 129752
Austin, TX
Past
June 28, 2017 - January 30, 2023
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
San Francisco, CA
Past
May 18, 2017 - May 22, 2024
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
San Francisco, CA
Past
September 13, 2016 - October 31, 2022
NIPUN CAPITAL, L.P.
RIA
CRD#: 159752
FOSTER CITY, CA
Past
April 20, 2015 - July 29, 2016
RS FUNDS DISTRIBUTOR LLC
BD
CRD#: 165753
SAN FRANCISCO, CA
Past
July 1, 2014 - March 2, 2015
FUTUREADVISOR, INC.
RIA
CRD#: 154604
SAN FRANCISCO, CA
Past
December 10, 2013 - June 27, 2014
WIPFLI FINANCIAL ADVISORS, LLC
RIA
CRD#: 109983
MILWAUKEE, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/24/2025)
RR
Alaska(3/24/2025)
RR
Arizona(3/24/2025)
RR
Arkansas(3/24/2025)
RR
California(3/24/2025)
RR
Colorado(5/28/2024)
RR
Connecticut(5/28/2024)
RR
Delaware(3/24/2025)
RR
District of Columbia(3/24/2025)
RR
Florida(3/24/2025)
RR
Georgia(3/24/2025)
RR
Hawaii(3/24/2025)
RR
Idaho(3/24/2025)
RR
Illinois(5/28/2024)
RR
Indiana(5/28/2024)
RR
Iowa(5/28/2024)
RR
Kansas(5/28/2024)
RR
Kentucky(3/24/2025)
RR
Louisiana(3/24/2025)
RR
Maine(3/24/2025)
RR
Maryland(3/24/2025)
RR
Massachusetts(3/24/2025)
RR
Michigan(5/28/2024)
RR
Minnesota(5/28/2024)
RR
Mississippi(3/24/2025)
RR
Missouri(5/28/2024)
RR
Montana(5/28/2024)
RR
Nebraska(5/28/2024)
RR
Nevada(3/24/2025)
RR
New Hampshire(3/24/2025)
RR
New Jersey(3/24/2025)
RR
New Mexico(3/24/2025)
RR
New York(5/28/2024)
RR
North Carolina(3/24/2025)
RR
North Dakota(5/28/2024)
RR
Ohio(5/28/2024)
RR
Oklahoma(3/24/2025)
RR
Oregon(3/24/2025)
RR
Pennsylvania(3/24/2025)
RR
Rhode Island(3/24/2025)
RR
South Carolina(3/24/2025)
RR
South Dakota(3/24/2025)
RR
Tennessee(3/24/2025)
RR
Texas(5/28/2024)
RR
Utah(3/24/2025)
RR
Vermont(3/24/2025)
RR
Virginia(3/24/2025)
RR
Washington(3/24/2025)
RR
West Virginia(3/24/2025)
RR
Wisconsin(5/28/2024)
RR
Wyoming(3/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AQR INVESTMENTS, LLC
AQR INVESTMENTS, LLC
CRD#: 289244 / SEC#: , 8-69990
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Greenwich Plaza Suite 130, Greenwich, CT 06830
Mailing Address
One Greenwich Plaza Suite 130, Greenwich, CT 06830
Phone number
(203) 742-3600
Established
Delaware since 03/15/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQR CAPITAL MANAGEMENT HOLDINGS (B-D), LLC | PARENT COMPANY | |
| ANDRADE, GREGOR MASINI | CHIEF EXECUTIVE OFFICER | 2265718 |
| HOWARD, JOHN BRADLEY | BOARD OF MANAGERS | 3132622 |
| KABILLER, DAVID GARY | BOARD OF MANAGERS | 1736385 |
| MELLAS, STEPHEN JOSEPH | BOARD OF MANAGERS | 1505043 |
| PRINCE, STEPHANIE NICOLE | CHIEF COMPLIANCE OFFICER | 2618015 |
| RYAN, PATRICK EDMUND | CHIEF FINANCIAL OFFICER | 2822527 |
| WILLCOX, HERBERT JAMES | BOARD OF MANAGERS & CHIEF LEGAL OFFICER | 1868426 |
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.
