Warren I. Posner
Professional summary
Warren Ira Posner is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in St Louis, Missouri.
Warren is registered as a RR (Registered Representative) and started their career in finance in 1990. Warren has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Warren Ira Posner's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 3, 2021 - Present
PATRICK CAPITAL MARKETS, LLC
Office #1: 11152 South Towne Square, St Louis, MO 63123April 2, 2020 - February 1, 2021
WEALTHFORGE SECURITIES, LLC
May 31, 2018 - April 1, 2020
PATRICK CAPITAL MARKETS, LLC
November 28, 2017 - April 10, 2018
PROVASI CAPITAL PARTNERS LP
June 18, 2015 - February 6, 2017
LPL FINANCIAL LLC
March 3, 2015 - May 28, 2015
ORCHARD SECURITIES, LLC
May 20, 2014 - December 16, 2014
FIRST DOMINION CAPITAL CORP.
June 1, 2009 - September 25, 2012
MORGAN STANLEY
June 1, 2009 - September 25, 2012
MORGAN STANLEY
November 9, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 9, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 24, 2005 - August 17, 2007
TD WEALTH MANAGEMENT SERVICES INC.
October 21, 2005 - August 17, 2007
TD WEALTH MANAGEMENT SERVICES INC.
September 27, 2004 - October 20, 2004
QUICK & REILLY, INC.
August 8, 2003 - August 12, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 1, 2003 - March 29, 2005
BACAP DISTRIBUTORS, LLC
April 15, 2003 - August 6, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 14, 2000 - October 10, 2002
DWS DISTRIBUTORS, INC.
June 6, 1997 - November 23, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 12, 1990 - April 29, 1997
PXP SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/3/2021)
Exams
FINRA
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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