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RB

Richard P. Borage

SAXONY SECURITIES
St. Louis, MO 63123
Some features on this profile are disabled
CRD#: 5258874
RB

Professional summary

Richard Paul Borage II is a registered financial professional currently at SAXONY SECURITIES, INC. located in St. Louis, Missouri.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Richard Paul Borage II'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

January 12, 2007 - Present

SAXONY SECURITIES, INC.

Office #1: 11152 S Towne Square, St. Louis, MO 63123
BD
CRD#: 115547
St. Louis, MO
Past

April 17, 2007 - December 31, 2014

SAXONY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 122692
ST. LOUIS, MO

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
Illinois
(7/6/2007)
RR
Missouri
(4/17/2007)
RR
Ohio
(10/26/2007)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/16/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2007
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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
KLUMP, RYAN CHRISTOPHERPRESIDENT4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTCHIEF EXECUTIVE OFFICER6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

Red Flags

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Company Information

SAXONY SECURITIES, INC.

CRD#: 115547St. Louis, MO 63123

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