David A. Borrelli
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.
David Anthony Borrelli was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2006 - June 2, 2023
ESL INVESTMENT SERVICES, LLC
March 12, 2001 - June 14, 2023
LPL FINANCIAL LLC
February 16, 1999 - June 14, 2023
LPL FINANCIAL LLC
January 4, 1999 - February 25, 1999
ESSEX NATIONAL SECURITIES, LLC
January 17, 1997 - December 31, 1998
ESSEX NATIONAL SECURITIES, LLC
July 18, 1995 - January 16, 1997
AMERICAN FREEDOM SECURITIES, INC.
February 1, 1995 - July 12, 1995
FISERV INVESTOR SERVICES, INC.
August 16, 1991 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
September 9, 1986 - January 31, 1990
PRUCO SECURITIES, LLC.
June 23, 1981 - September 25, 1981
FIRST JERSEY SECURITIES, INC.
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
ESL INVESTMENT SERVICES, LLC
CRD#: 139176 / SEC#: , 8-67195
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
