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Boris Alexandar Borozan

ASL Capital Markets Inc.

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About Boris Alexandar Borozan

Boris Alexandar Borozan is a registered representative with ASL Capital Markets Inc., located in Stamford, Connecticut. Boris has been working in the financial industry since 1994, holding numerous positions with several firms, including MFR Securities, Inc., HSBC Securities (USA) Inc., PaineWebber Incorporated, and WestLB Panmure Securities Inc. Boris holds several licenses including Series 7, 8, 9, 10, 63, 72 and the SIE. Boris is licensed in Connecticut, the District of Columbia, Montana, New York, and Texas.

Firm Information

Boris Borozan is currently registered with ASL Capital Markets Inc.. ASL Capital Markets Inc. is a corporation that was formed on September 20, 2016. The firm is registered with the Securities and Exchange Commission (SEC) and all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

33

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Boris Borozan’s Registration & Firm History

CT

03/04/2020 - Present

ASL Capital Markets Inc. (STAMFORD CT)

NY

06/07/2013 - 03/17/2018

MFR SECURITIES, INC. (NEW YORK NY)

NY

12/18/2000 - 11/17/2011

HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)

NJ

09/26/1994 - 11/29/2000

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

02/19/1991 - 09/02/1994

WESTLB PANMURE SECURITIES INC. (NEW YORK NY)

NA

09/01/1988 - 02/25/1989

S.G. WARBURG & CO. INC.

NA

07/15/1988 - 09/01/1988

S.G. WARBURG SECURITIES INC.

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Licenses & Designations

BC

Issued 08/04/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 08/08/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 03/17/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/16/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Boris Alexandar Borozan.
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