Richard R. Borgner
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.
Richard Reiss Borgner was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1983. Richard had worked at 14 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 22, Series 6, Series 52, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2015 - December 15, 2015
SW FINANCIAL
April 12, 2013 - October 6, 2021
WORDEN CAPITAL MANAGEMENT LLC
July 7, 2008 - October 31, 2012
EKN FINANCIAL SERVICES INC.
January 4, 2007 - July 3, 2008
AEGIS CAPITAL CORP.
April 14, 2005 - July 3, 2008
AEGIS CAPITAL CORP.
August 13, 2002 - July 1, 2005
YANKEE FINANCIAL GROUP, INC.
July 25, 2000 - September 30, 2002
MANTIS SECURITIES, INC.
August 17, 1999 - August 2, 2000
NORTHRIDGE CAPITAL CORPORATION
February 14, 1995 - September 9, 1999
G.F.B. SECURITIES, INC.
February 7, 1995 - April 3, 1995
FIRST MONTAUK SECURITIES CORP.
January 24, 1995 - January 31, 1995
FIRST MONTAUK SECURITIES CORP.
October 3, 1994 - February 6, 1995
MERIDIAN, DUNHILL & CO., INC.
February 28, 1991 - October 3, 1994
DUNHILL EQUITIES, INC.
February 15, 1988 - April 2, 1991
LEHMAN BROTHERS INC.
August 18, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
March 23, 1983 - August 5, 1987
DAVID LERNER ASSOCIATES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
