Robert J. Galindo
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.
Robert Joseph Galindo, who also goes by Bob Galindo, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 7 firms and has passed the Series 65, 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
April 25, 2017 - October 17, 2019
PATRICK CAPITAL MARKETS, LLC
April 2, 2003 - November 15, 2016
FEF DISTRIBUTORS, LLC
December 14, 1999 - May 24, 2002
FUNDS DISTRIBUTOR, LLC
June 4, 1997 - October 25, 1999
UNIFIED FINANCIAL SECURITIES, LLC
August 18, 1994 - May 7, 1997
OCC DISTRIBUTORS LLC
August 23, 1991 - March 4, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1990 - May 13, 1991
SOUTH RICHMOND SECURITIES, 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.
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