ML
Matthew A. Lesnikowski
SAXONY CAPITAL MANAGEMENT
Minnetrista, MN
Some features on this profile are disabled
CRD#: 1530281
ML
Professional summary
Matthew Alan Lesnikowski, who also goes by Matthew Alan Lesinikowski, Matt Lesnikowski, is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Minnetrista, Minnesota and PATRICK CAPITAL MARKETS, LLC located in Irvine, California.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Matthew has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Alan Lesinikowski | Matt Lesnikowski
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.
1) Piedment Capital Distributors, LLC; DBA for Investment-Related Business 2) Menards, Not investment related, 12600 Plaza Drive, Eden Prairie, MN 55344, Home Improvement chain store, Customer Sales/Service, 4/20/2024, 68 hours per month, 0 hours during trading, parttime role assisting customers with the purchase of windows and cabinets. Cleaning and stocking duties.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Alan Lesnikowski's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2025 - Present
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
Minnetrista, MN
Current
October 11, 2021 - Present
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
Irvine, CA
Past
January 7, 2022 - December 31, 2024
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
Minnetrista, MN
Past
October 21, 2014 - September 7, 2021
MORGAN STANLEY INVESTMENT MANAGEMENT INC.
RIA
CRD#: 110353
EDEN PRAIRIE, MN
Past
October 21, 2014 - July 29, 2021
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
NEW YORK, NY
Past
April 20, 2006 - October 9, 2014
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
RIA
CRD#: 138756
BOSTON, MA
Past
November 4, 2004 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
RIA
CRD#: 107719
BOSTON, MA
Past
July 22, 2004 - October 9, 2014
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
July 1, 2003 - August 11, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 17, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
January 1, 1997 - April 2, 1997
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
June 14, 1989 - January 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(10/12/2021)
RR
Minnesota(10/13/2021)
IAR
Minnesota(1/3/2025)
RR
Wisconsin(5/9/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
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)Upgrade to AdvisorCheck Premium
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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
6
SEC notice filing (24 States and Territories)
Documents
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 |
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.
