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Christopher J. Borgo

Some features on this profile are disabled
CRD#: 2377439
CB

Professional summary

Christopher John Borgo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Christopher is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Christopher had worked at 11 firms, which includes SALOMON GREY FINANCIAL CORPORATION, WINDSOR STREET CAPITAL LP, SSI SECURITIES CORP., GKN SECURITIES CORP., TRAUTMAN WASSERMAN & COMPANY INC., J.P. TURNER & COMPANY L.L.C., BRIARWOOD INVESTMENT COUNSEL, SAUCEDA & GRANVILLE SECURITIES INC., S. D. COHN & CO. INC., CORTLANDT CAPITAL CORPORATION, WILLIAM SCOTT & CO. L.L.C..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher Borgo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 27, 2001 - October 15, 2004

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

January 12, 2001 - May 22, 2001

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
NEW YORK, NY
Past

November 10, 2000 - January 2, 2001

SSI SECURITIES CORP.

BD
CRD#: 8275
BOCA RATON, FL
Past

September 12, 2000 - December 21, 2000

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

December 18, 1998 - October 6, 1999

TRAUTMAN WASSERMAN & COMPANY, INC.

BD
CRD#: 33007
NEW YORK, NY
Past

April 30, 1998 - December 7, 1998

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

January 6, 1998 - March 25, 1998

BRIARWOOD INVESTMENT COUNSEL

BD
CRD#: 6368
NEW YORK, NY
Past

December 19, 1996 - July 8, 1997

SAUCEDA & GRANVILLE SECURITIES, INC.

BD
CRD#: 28939
DENVER, CO
Past

May 15, 1996 - October 10, 1996

S. D. COHN & CO., INC.

BD
CRD#: 27827
HAUPPAUGE, NY
Past

August 9, 1995 - June 5, 1996

CORTLANDT CAPITAL CORPORATION

BD
CRD#: 25152
NEW YORK CITY, NY
Past

April 15, 1994 - August 29, 1995

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/24/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/4/1998
General Securities Principal Examination

Current Firm

SG
SALOMON GREY FINANCIAL CORPORATION
RRK SECURITIES | SALOMON GREY FINANCIAL CORPORATION | SALOMON GREY FINANCIAL | RRK SECURITIES, INC.

CRD#: 43413 / SEC#: , 8-50268

BD
Revoked by SEC on 06/01/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 09/22/1997
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SALOMON GREY FINANCIAL GROUP, INC.75.1% SHAREHOLDER
ROBAR LLC24.9% DIRECT OWNER
CAROTHERS, SCOTT WILLIAMFINANCIAL PRINCIPAL/FINOP
EDWARDS, GRANT ALANEXECUTIVE VICE PRESIDENT, DIRECTOR OF TRADING2745376
ROWE, KYLE BROWNINGCHAIRMAN AND VICE-PRESIDENT, OWNER2310978
SUTTON, KELLYSROP2033974

Disclosures

Regulatory Event5
Civil Event1
Arbitration5
Financial1

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

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

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