Gregory P. Kipple
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.
Gregory Patrick Kipple, who also goes by Greg Kipple, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1985. Gregory had worked at 9 firms and has passed the Series 63, 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
August 29, 2017 - October 26, 2018
PATRICK CAPITAL MARKETS, LLC
November 25, 2013 - April 13, 2017
RAYMOND JAMES & ASSOCIATES, INC.
November 22, 2013 - April 13, 2017
RAYMOND JAMES & ASSOCIATES, INC.
December 3, 2009 - December 2, 2013
SAXONY CAPITAL MANAGEMENT, LLC
August 31, 2009 - December 2, 2013
SAXONY SECURITIES, INC.
December 16, 2003 - August 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2003 - August 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 7, 1999 - November 6, 2003
UBS FINANCIAL SERVICES INC.
September 3, 1986 - April 15, 1999
CITIGROUP GLOBAL MARKETS INC.
August 8, 1985 - October 16, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1985 - August 5, 1985
NIELSON AND CLARK INC.
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
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.
