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AL

Alexander V. Lagerborg

SAXONY SECURITIES
Castle Rock, CO 80104
Some features on this profile are disabled
CRD#: 2373366
AL

Professional summary

Alexander Vincent Lagerborg, who also goes by Alex VIncent Lagerborg, Alex Lagerborg, is a registered financial professional currently at SAXONY SECURITIES, INC. located in Castle Rock, Colorado.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 1993. Alexander has worked at 4 firms and has passed the Series 63, Series 22TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Vincent Lagerborg | Alex Lagerborg

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alexander Vincent Lagerborg's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 12, 2023 - Present

SAXONY SECURITIES, INC.

Office #1: 115 Wilcox Street Suite 220, Castle Rock, CO 80104
BD
CRD#: 115547
Castle Rock, CO
Past

May 6, 2014 - September 11, 2015

FINTEGRA, LLC

BD
CRD#: 16741
Denver, CO
Past

January 18, 2012 - April 28, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
DENVER, CO
Past

January 1, 2010 - January 21, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
BOULDER, CO
Past

March 9, 2007 - July 24, 2007

SHARE FINANCIAL SERVICES, INC.

BD
CRD#: 11226
ADDISON, TX
Past

September 2, 1993 - September 25, 1996

SHARE FINANCIAL SERVICES, INC.

BD
CRD#: 11226
ADDISON, TX

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
Arizona
(10/16/2023)
RR
California
(1/2/2025)
RR
Colorado
(10/16/2023)
RR
North Carolina
(8/21/2025)
RR
Texas
(10/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/17/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 10/12/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/18/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
CLARK, BRIAN LESLEYCFO4802438
GRIFFARD, RICHARD EDWARDPRESIDENT/CEO/DIRECTOR2472251
KLUMP, RYAN CHRISTOPHERCOO4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTVICE PRESIDENT6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

SAXONY SECURITIES, INC.

CRD#: 115547Castle Rock, CO 80104

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