Thomas G. Rudkin
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.
Thomas Gilbert Rudkin, who also goes by Tom Rudkin, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2018 - November 15, 2022
PATRICK CAPITAL MARKETS, LLC
October 22, 2013 - September 12, 2016
FIG PARTNERS, LLC
October 28, 2011 - October 31, 2013
SYNDICATED CAPITAL, INC.
January 19, 2011 - October 21, 2011
B. RILEY WEALTH MANAGEMENT
August 24, 2009 - January 6, 2011
B. RILEY WEALTH MANAGEMENT
October 24, 2008 - August 26, 2009
NORTHEAST SECURITIES, LLC
August 22, 2007 - May 6, 2008
STANFORD GROUP COMPANY
July 19, 2002 - July 31, 2006
KEEFE VENTURES, LLC
January 23, 1985 - May 20, 1987
MOSELEY SECURITIES CORPORATION
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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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