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RS

R. P. Stickney

PATRICK CAPITAL MARKETS
Irvine, CA
Some features on this profile are disabled
CRD#: 1012338
RS

Professional summary

R. Paul Stickney, who also goes by Paul Stickney, Ralph Paul Stickney, is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.

R. is registered as a RR (Registered Representative) and started their career in finance in 1981. R. has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul Stickney | Ralph Paul Stickney

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 R. Paul Stickney'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 10, 2025 - Present

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Irvine, CA
Past

January 22, 2024 - August 29, 2025

LOCORR DISTRIBUTORS, LLC

BD
CRD#: 41782
EXCELSIOR, MN
Past

September 9, 2014 - January 24, 2024

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

January 3, 2014 - January 24, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

August 1, 2005 - December 11, 2013

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

October 9, 2001 - July 5, 2005

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 106629
BOSTON, MA
Past

August 22, 1995 - July 5, 2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

March 30, 1989 - August 14, 1995

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

January 12, 1988 - February 28, 1989

ASTRA FUND DISTRIBUTORS CORP.

BD
CRD#: 6930
LOS ANGELES, CA
Past

May 1, 1986 - August 31, 1987

COLONIAL INVESTMENT SERVICES, INC.

BD
CRD#: 167
Past

December 3, 1981 - May 8, 1986

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829

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
California
(10/10/2025)
RR
Michigan
(10/10/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1981
Uniform Securities Agent 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: 11/21/1981
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PATRICK CAPITAL MARKETS, LLC
PATRICK CAPITAL MARKETS | PATRICK FINANCIAL CORPORATION | PATRICK CAPITAL MARKETS, LLC

CRD#: 16518 / SEC#: , 8-34099

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
11152 South Towne Square, St Louis, MO 63123
Mailing Address
11152 South Towne Square, St. Louis, MO 63123
Phone number
(314) 528-3000
Established
Missouri since 06/16/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 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 FINANCIAL HOLDINGS, LLC.SOLE OWNER/ MEMBER
KLUMP, RYAN CHRISTOPHERCHIEF EXECUTIVE OFFICER4762698
MATARAZZI, NATHAN DOMENICOFINOP, POO, AND PFO4827090
MITCHELL, JARAD BYRAMPRESIDENT4811305
WEBSTER, TERRANCE MICHAELCHIEF COMPLIANCE OFFICER6826889

Disclosures

Regulatory Event1

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

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518Irvine, CA

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