TC
Todd W. Carle
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CRD#: 2251895
TC
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.
Todd William Carle was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1992. Todd had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
1) HAWAII FINANCIAL MANAGEMENT: DBA FOR SECURITIES, INVESTMENT ADVISORY AND INSURANCE BUSINESS; 2) VARIOUS INSURANCE COMPANIES (OBA) FOR INVESTMENT RELATED BUSINESS; 917 KOKO ISLE CIRCLE HONOLULU, HAWAII 96825; NON VARIABLE INSURANCE SALES; INSURANCE AGENT; BEGAN 12/2006; 4 HRS/MONTH; INSURANCE POLICY SALES; 3) HAWAII FINANCIAL MANAGEMENT; DBA FOR INVESTMENT RELATED BUSINESS 4) VERSA DOCK HAWAII: 917 KOKO ISLE CIRCLE HONOLULU, HAWAII 96825, OWNER OF MARINE DOCK SUPPLY BUSINESS, NOT INVESTMENT RELATED, 5 HRS/WK; 5) KONA KAI ATM, LLC: 917 KOKO ISLE CIRCLE HONOLULU, HAWAII 96825, ATM OWNER/OPERATOR, NOT INVESTMENT RELATED, 15 HRS/WK; 6) HAWAII KAI BOAT CLUB: 906 KOKO ISLE CIRCLE, HONOLULU, HAWAII 96825, NON-PROFIT YACHT CLUB, COMMODORE, NOT INVESTMENT RELATED, 1 HR/WK.; 7) AKAMAI LOCKERS; NON-INVESTMENT RELATED; 917 KOKO ISLE CIRCLE, HONOLULU, HI 96825; VENDING LOCKERS STORAGE BUSINESS; SALES & MARKETING; STARTED 05/2021; 2 HR/MO DURING TRADING HRS; DUTIES INCLUDE INTRODUCING THE SMART LOCKER CONCEPT AND PLACE A LOCKER SYSTEM INTO MERCHANTS' LOCATION.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 15, 2007 - April 29, 2024
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
HONOLULU, HI
Past
October 12, 2006 - April 29, 2024
SAXONY SECURITIES, INC.
BD
CRD#: 115547
HONOLULU, HI
Past
May 11, 2004 - October 12, 2006
GOLD COAST SECURITIES, INC.
RIA
CRD#: 110925
HONOLULU, HI
Past
May 11, 2004 - October 12, 2006
GOLD COAST SECURITIES, INC.
BD
CRD#: 110925
HONOLULU, HI
Past
May 4, 2004 - May 12, 2004
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 109771
PITTSBURGH, PA
Past
May 3, 2004 - May 11, 2004
NEWEDGE SECURITIES, LLC
BD
CRD#: 10674
PITTSBURGH, PA
Past
October 7, 1998 - May 4, 2004
FDX ADVISORS, INC.
RIA
CRD#: 104601
HONOLULU, HI
Past
May 1, 1998 - May 3, 2004
LONDON PACIFIC SECURITIES, INC.
BD
CRD#: 25089
SACRAMENTO, CA
Past
September 8, 1997 - April 28, 1998
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
March 3, 1994 - February 13, 1996
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
CAMARILLO, CA
Past
September 10, 1992 - March 8, 1994
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
CRD#: 122692 / SEC#: 801-68385
RIA
Registered Investment Advisory firm - (10/15/2007 Approved)Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)California
Registered Investment Advisory firm - (10/15/2007 Terminated)Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
CRD#: 122692 / SEC#: 801-68385
RIA
Registered Investment Advisory firm - (10/15/2007 Approved)Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)California
Registered Investment Advisory firm - (10/15/2007 Terminated)Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11152 S Towne Square, Saint Louis, MO 63123
Mailing Address
Phone number
(314) 963-9336
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,307 |
| AUM (Assets Under Management) | $ 297,922,213 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/18/2022 |
Red Flags
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.
