Alfonso Alberto Borrero

Employer firm

Borrero Investment Management, LLC CRD 169206

$33.5M regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Borrero Investment Management, Llc

Orlando, FL • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2014-01-08

FL RA
APPROVED

Since 2014-01-08

Branch Locations

Orlando, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Borrero Investment Management, Llc	Orlando	FL	11/2013	Present

11/2013 → Present

Borrero Investment Management, Llc

Orlando, FL

Previous Registrations

2009-08-21 → 2014-04-23

Lpl Financial Llc

Orlando, FL

San Diego, CA

Orlando, FL
2004-07-12 → 2009-08-17

Banc Of America Investment Services, Inc.

Orlando, FL

Orlando, FL
1999-05-27 → 2004-07-20

Citigroup Global Markets Inc.

Orlando, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-09
S63	Uniform Securities Agent State Law Examination	1999-06-02

S65 Uniform Investment Adviser Law Examination

1999-06-09
S63 Uniform Securities Agent State Law Examination

1999-06-02

Other Names

Al Borrero
Alfonso Alberto Borrero
Al Borrero
Alfonso Alberto Borrero

View on SEC IAPD