Jon W. August

SAXONY SECURITIES

St. Louis, MO 63123

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CRD#: 1637525

Professional summary

Jon William August is a registered financial professional 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.

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 Jon William August'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

March 2, 2009 - Present

SAXONY SECURITIES, INC.

Office #1: 11152 S Towne Square, St. Louis, MO 63123

CRD#: 115547

St. Louis, MO

Past

November 17, 1997 - March 27, 2009

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

ST LOUIS, MO

Past

September 13, 1995 - November 21, 1997

R. H. YORK & COMPANY, INC.

CRD#: 30099

COVINGTON, KY

Past

February 21, 1995 - September 13, 1995

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

DALLAS, TX

Past

July 31, 1993 - March 3, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 1, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

June 9, 1989 - June 5, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 9, 1987 - June 12, 1989

QUEEN CITY SECURITIES CORPORATION

CRD#: 5460

CINCINNATI, OH

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

Ohio
(3/2/2009)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/5/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

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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Jon W. August

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

PATRICK CAPITAL MARKETS, LLC

R. H. YORK & COMPANY, INC.

MOMENTUM INDEPENDENT NETWORK INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

QUEEN CITY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/1993

Series 63

Date: 6/21/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

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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