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Jon William August

SAXONY SECURITIES
ST. LOUIS, MO
·CRD# 1637525·39 years experience

Professional Summary

Jon William August is a registered financial advisor currently at SAXONY SECURITIES, INC. located in St. Louis, Missouri. Jon is registered as a RR (Registered Representative) and started their career in finance in 1987. Jon has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

39 years in the financial services industry

Current & Past Employments

SAXONY SECURITIES, INC.·CRD# 115547
BD
11152 S Towne Square, St. Louis, MO 63123
March 2, 2009 - Present
PATRICK CAPITAL MARKETS, LLC·CRD# 16518
BD
St Louis, MO
November 17, 1997 - March 27, 2009
R. H. YORK & COMPANY, INC.·CRD# 30099
BD
Covington, KY
September 13, 1995 - November 21, 1997
MOMENTUM INDEPENDENT NETWORK INC.·CRD# 17587
BD
Dallas, TX
February 21, 1995 - September 13, 1995
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 31, 1993 - March 3, 1995
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
June 1, 1992 - July 31, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
June 9, 1989 - June 5, 1992
QUEEN CITY SECURITIES CORPORATION·CRD# 5460
BD
Cincinnati, OH
September 9, 1987 - June 12, 1989

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Current Firm

SS
SAXONY SECURITIES, INC.

SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: 8-53490
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER—
KLUMP, RYAN CHRISTOPHERPRESIDENT4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTCHIEF EXECUTIVE OFFICER6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event

2

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Ohio
(3/2/2009)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 1993About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1989About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1987About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Jon William August's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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