Glynne P. Pisapia

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CRD#: 1054199

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.

Glynne Peter Pisapia was a registered financial professional .

Glynne is a previously registered financial professional and started their career in finance in 1982. Glynne had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

January 24, 2014 - October 7, 2014

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

VISTA, CA

Past

January 9, 2014 - October 7, 2014

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

TRABUCO CANYON, CA

Past

September 11, 2012 - January 16, 2014

CHICKASAW CAPITAL MANAGEMENT, LLC

RIA

CRD#: 127398

MEMPHIS, TN

Past

September 11, 2012 - January 16, 2014

CHICKASAW SECURITIES, LLC

CRD#: 128711

MEMPHIS, TN

Past

March 13, 2012 - September 14, 2012

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

VISTA, CA

Past

January 27, 2012 - September 14, 2012

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

ST LOUIS, MO

Past

April 7, 2003 - August 17, 2007

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

RIA

CRD#: 108057

STAMFORD, CT

Past

January 8, 1991 - October 14, 2010

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

August 22, 1990 - December 24, 1990

EQUITEC SECURITIES COMPANY

CRD#: 6463

OAKLAND, CA

Past

December 1, 1987 - August 3, 1990

METRIC CAPITAL CORPORATION

CRD#: 6075

MORRISTOWN, NJ

Past

January 16, 1986 - November 20, 1987

SHURGARD REALTY ADVISORS, INC.

CRD#: 14034

Past

November 7, 1983 - January 18, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

August 30, 1982 - November 1, 1983

CALIFORNIA MUNICIPAL INVESTORS, INC.

CRD#: 7311

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692 / SEC#: 801-68385

RIA

Registered Investment Advisory firm - (10/15/2007 Approved)

Arkansas

Registered Investment Advisory firm - (10/15/2007 Terminated)

California

Registered Investment Advisory firm - (10/15/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (10/15/2007 Terminated)

Florida

Registered Investment Advisory firm - (10/15/2007 Terminated)

Indiana

Registered Investment Advisory firm - (10/24/2005 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/16/2007 Terminated)

Mississippi

Registered Investment Advisory firm - (10/24/2005 Terminated)

Missouri

Registered Investment Advisory firm - (10/15/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (10/24/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (10/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - (10/15/2007 Terminated)

South Carolina

Registered Investment Advisory firm - (11/9/2005 Terminated)

Tennessee

Registered Investment Advisory firm - (5/31/2006 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2007 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2006 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/15/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/4/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/7/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/25/1982

Municipal Securities Representative Examination

Current Firm

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692 / SEC#: 801-68385

RIA

Registered Investment Advisory firm - (10/15/2007 Approved)

Arkansas

Registered Investment Advisory firm - (10/15/2007 Terminated)

California

Registered Investment Advisory firm - (10/15/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (10/15/2007 Terminated)

Florida

Registered Investment Advisory firm - (10/15/2007 Terminated)

Indiana

Registered Investment Advisory firm - (10/24/2005 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/16/2007 Terminated)

Mississippi

Registered Investment Advisory firm - (10/24/2005 Terminated)

Missouri

Registered Investment Advisory firm - (10/15/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (10/24/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (10/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - (10/15/2007 Terminated)

South Carolina

Registered Investment Advisory firm - (11/9/2005 Terminated)

Tennessee

Registered Investment Advisory firm - (5/31/2006 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2007 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2006 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/15/2007 Terminated)

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Contact information

Main Address

11152 S Towne Square, Saint Louis, MO 63123

Mailing Address

Phone number

(314) 963-9336

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCM BROCHURE 3.10.25 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,307
AUM (Assets Under Management)	$ 297,922,213

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Glynne P. Pisapia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PATRICK CAPITAL MARKETS, LLC

CHICKASAW CAPITAL MANAGEMENT, LLC

CHICKASAW SECURITIES, LLC

SAXONY CAPITAL MANAGEMENT, LLC

PATRICK CAPITAL MARKETS, LLC

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

EQUITEC SECURITIES COMPANY

METRIC CAPITAL CORPORATION

SHURGARD REALTY ADVISORS, INC.

LEHMAN BROTHERS INC.

CALIFORNIA MUNICIPAL INVESTORS, INC.

Primary Firm SEC Registration

SAXONY CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2003

Series 63

Date: 7/1/1987

SIE

Date: 10/7/2014

Series 7

Date: 1/21/1984

Series 52

Date: 8/25/1982

Current Firm

SAXONY CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAXONY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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