Bjorn K. Borgen
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.
Bjorn Krogh Borgen, who also goes by Aka Erik Borgen, Erik Borgen, was a registered financial professional .
Bjorn is a previously registered financial professional and started their career in finance in 1971. Bjorn had worked at 3 firms and has passed the Series 63 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 1998 - May 5, 1998
FOUNDERS ASSET MANAGEMENT LLC
May 12, 1971 - December 3, 1976
FOUNDERS SECURITIES CORP.
May 4, 1971 - April 1, 1998
FOUNDERS ASSET MANAGEMENT, 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 00
Date: 4/28/1971
General Securities Principal ExaminationCurrent Firm
FOUNDERS ASSET MANAGEMENT LLC
CRD#: 44645 / SEC#: , 8-50761
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORNICE HOLDING COMPANY, INC. | SHAREHOLDER | |
| BYERS, STEPHEN ROBERT | MEMBER, BOARD OF MANAGERS | 1625411 |
| CANTER, STEPHEN EDWARD | CHAIRMAN, BOARD OF MANAGERS | 1837432 |
| CHRISTOFFERSEN, KENNETH ROSS | SENIOR VICE PRESIDENT - LEGAL, SECRETARY AND GENERAL COUNSEL | 2340913 |
| CONTILLO, GREGORY PAUL | MEMBER, BOARD OF MANAGERS | 714248 |
| GAFFNEY, FRANCIS PETER | SENIOR VICE PRESIDENT - OPERATIONS | 2259463 |
| MILLARD, MICHAEL GERARD | MEMBER, BOARD OF MANAGERS | 722703 |
| RAY, DAVID LAMAR | SENIOR VICE PRESIDENT - ADMINISTRATION | 1535579 |
| SABO, RICHARD WALTER | PRESIDENT AND CHIEF EXECUTIVE OFFICER, MEMBER, BOARD OF MANAGERS | 1031155 |
| SAMPSON, RICHARD ALBERT | SR. VP, MEMBER, BOARD OF MANAGERS | 717356 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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