Marcia L. Mohler
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.
Marcia Lynn Mohler was a registered financial professional .
Marcia is a previously registered financial professional and started their career in finance in 1996. Marcia had worked at 10 firms and has passed the 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
August 28, 2017 - May 14, 2018
PATRICK CAPITAL MARKETS, LLC
November 4, 2014 - September 1, 2015
TCW FUNDS DISTRIBUTORS LLC
February 17, 2012 - September 5, 2013
TOCQUEVILLE SECURITIES L.P.
November 12, 2010 - May 1, 2012
HLH SECURITIES, INC.
June 13, 2006 - June 6, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
March 29, 2004 - April 14, 2005
CAPITAL BROKERAGE CORPORATION
September 23, 1999 - July 11, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 15, 1997 - February 19, 1999
EQUITABLE DISTRIBUTORS, LLC
December 10, 1996 - January 13, 1997
INVESCO CAPITAL MARKETS, INC.
May 14, 1996 - June 21, 1996
PRUDENTIAL EQUITY GROUP, LLC
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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