Daniel L. Roebuck
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.
Daniel Loys Roebuck, who also goes by Dan Roebuck, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 22 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2021 - August 1, 2024
PATRICK CAPITAL MARKETS, LLC
April 2, 2020 - February 1, 2021
WEALTHFORGE SECURITIES, LLC
June 28, 2018 - April 1, 2020
PATRICK CAPITAL MARKETS, LLC
September 15, 2017 - January 4, 2018
S2K FINANCIAL LLC
November 9, 2012 - June 13, 2017
ORCHARD SECURITIES, LLC
May 4, 2012 - November 12, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 7, 2011 - January 12, 2011
TNP SECURITIES, LLC
May 17, 2010 - October 29, 2010
SELECT CAPITAL CORPORATION
September 2, 2008 - October 9, 2009
KNIGHT PORTFOLIO ACCESS, LLC
August 29, 2008 - October 9, 2009
MANAGED ACCOUNT SERVICES, LLC
March 21, 2007 - July 31, 2008
KBS CAPITAL MARKETS GROUP LLC
May 4, 2006 - October 25, 2006
FSC SECURITIES CORPORATION
May 4, 2006 - October 25, 2006
FSC SECURITIES CORPORATION
December 19, 2005 - April 7, 2006
EQUITABLE ADVISORS, LLC
January 2, 2001 - October 31, 2005
EQUITABLE DISTRIBUTORS, LLC
December 23, 1997 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 23, 1997 - December 31, 2000
EQUITABLE ADVISORS, LLC
November 14, 1996 - January 9, 1998
EQUITABLE DISTRIBUTORS, LLC
December 22, 1994 - September 14, 1996
KA ASSOCIATES, LLC
November 18, 1991 - November 14, 1994
DIRECTED SERVICES LLC
May 2, 1991 - March 9, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
December 7, 1990 - May 1, 1991
ROYAL HUTTON SECURITIES CORP.
May 4, 1989 - September 11, 1990
EQUITY SECURITIES CORPORATION
December 22, 1987 - May 4, 1989
PLANNED MANAGEMENT COMPANY
October 22, 1986 - January 20, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
October 22, 1984 - September 22, 1986
SYNDICATED INVESTMENTS, INC. OF RALEIGH
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
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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