James A. Pagliaroli
Professional summary
James A Pagliaroli, who also goes by James A Pagliaroli Jr, James A Pagliaroli, James Armand Pagliaroli Jr, James Armand Pagliaroli, Jim Pagliaroli, is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in St. Louis, Missouri.
James is registered as a RR (Registered Representative) and started their career in finance in 1991. James has worked at 24 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James A Pagliaroli's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2025 - Present
PATRICK CAPITAL MARKETS, LLC
Office #1: 11152 South Towne Square, St. Louis, MO 63123October 6, 2023 - January 21, 2025
TRITON PACIFIC SECURITIES, LLC
June 28, 2019 - March 25, 2021
MORGAN STANLEY
June 28, 2019 - March 25, 2021
MORGAN STANLEY
June 28, 2018 - July 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 2018 - July 2, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2015 - January 3, 2017
PROVASI CAPITAL PARTNERS LP
November 6, 2013 - March 23, 2015
FORWARD MANAGEMENT, LLC
July 27, 2012 - March 23, 2015
ALPS DISTRIBUTORS, INC.
November 23, 2009 - June 22, 2012
GUGGENHEIM INVESTMENTS
November 23, 2009 - June 22, 2012
GUGGENHEIM DISTRIBUTORS, LLC
December 18, 2008 - July 27, 2009
OLD MUTUAL CAPITAL
September 3, 2008 - July 27, 2009
OLD MUTUAL INVESTMENT PARTNERS
August 1, 2006 - August 22, 2008
NEXBANK SECURITIES INC
April 25, 2005 - August 2, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
November 5, 2003 - November 1, 2004
DIRECTED SERVICES LLC
March 12, 2003 - June 16, 2003
AMERICAN SKANDIA ADVISORY SERVICES, INC.
August 8, 2002 - June 16, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 13, 2001 - August 6, 2002
DEUTSCHE BANK SECURITIES INC.
March 1, 2000 - January 13, 2001
DB ALEX. BROWN LLC
April 10, 1998 - February 17, 2000
UBS ASSET MANAGEMENT (US) INC.
October 31, 1996 - October 20, 1997
ROBOTTI SECURITIES, LLC
May 6, 1996 - October 18, 1996
CIBC WOOD GUNDY SECURITIES CORP.
October 8, 1992 - March 7, 1996
CANTOR FITZGERALD & CO.
September 1, 1992 - March 7, 1996
CANTOR FITZGERALD SECURITIES
December 4, 1991 - March 17, 1992
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
(4/9/2025)
Exams
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationFINRA
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
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