Robert S. Spiess

SAXONY SECURITIES

MIAMI BEACH, FL 33139

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CRD#: 1557546

Professional summary

Robert S Spiess is a registered financial professional currently at SAXONY SECURITIES, INC. located in Miami Beach, Florida.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert S Spiess's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 28, 2023 - Present

SAXONY SECURITIES, INC.

Office #1: 119 Washington Avenue Suite 400, Miami Beach, FL 33139

CRD#: 115547

MIAMI BEACH, FL

Past

August 15, 2018 - April 28, 2023

INVESTMENT PLACEMENT GROUP

CRD#: 14458

Miami, FL

Past

April 5, 2016 - August 10, 2018

MONARCH CAPITAL GROUP, LLC

CRD#: 47815

NEW YORK, NY

Past

July 9, 2015 - April 14, 2016

HALEN CAPITAL

CRD#: 135966

New York, NY

Past

January 30, 2015 - July 6, 2015

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

New York, NY

Past

January 21, 2015 - July 6, 2015

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

New York, NY

Past

March 30, 2009 - January 28, 2015

DOMINICK & DICKERMAN LLC

RIA

CRD#: 7344

NEW YORK, NY

Past

February 15, 2008 - January 28, 2015

DOMINICK & DICKERMAN LLC

CRD#: 7344

NEW YORK, NY

Past

July 12, 2002 - March 3, 2008

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

NEW YORK, NY

Past

June 3, 2002 - March 3, 2008

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Past

November 13, 1998 - June 3, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 23, 1988 - November 30, 1998

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 29, 1986 - April 26, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(4/28/2023)

New York
(4/28/2023)

Washington
(4/28/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/15/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/5/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/22/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/18/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SAXONY SECURITIES, INC.

SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

11152 S Towne Square, St. Louis, MO 63123

Mailing Address

11152 S Towne Square, St. Louis, MO 63123

Phone number

(314) 963-9336

Established

Missouri since 07/13/2001

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAXONY HOLDINGS, INC.	SHAREHOLDER
CLARK, BRIAN LESLEY	CFO	4802438
GRIFFARD, RICHARD EDWARD	PRESIDENT/CEO/DIRECTOR	2472251
KLUMP, RYAN CHRISTOPHER	COO	4762698
MATARAZZI, NATHAN DOMENICO	FINOP, PFO AND POO	4827090
PALOS, KURT ROBERT	VICE PRESIDENT	6063745
PFEIFFER, STEPHANIE ANN	CCO	2278515

Disclosures

Regulatory Event	2
Arbitration	1

Red Flags

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Robert S. Spiess

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert S Spiess's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT PLACEMENT GROUP

MONARCH CAPITAL GROUP, LLC

HALEN CAPITAL

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

DOMINICK & DICKERMAN LLC

DOMINICK & DICKERMAN LLC

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/15/1998

Series 63

Date: 8/5/1988

SIE

Date: 10/1/2018

Series 3

Date: 3/22/1989

Series 7

Date: 10/18/1986

FINRA

Current Firm

SAXONY SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SAXONY SECURITIES, INC.

TRUST BUT VERIFY

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