JP
Jason G. Pueschel
SAXONY CAPITAL MANAGEMENT
Hebron, CT
Some features on this profile are disabled
CRD#: 2257351
JP
Professional summary
Jason Glen Pueschel, who also goes by Jason Pueschel, is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Hebron, Connecticut and PATRICK CAPITAL MARKETS, LLC located in St. Louis, Missouri.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jason has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jason Pueschel
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) Alternative Wealth Management, LLC, DBA for securities-related business. 2) AWM Capital Markets LLC; Investment-Related; 75 Joel Dr., Hebron, CT 06248; sponsor of Private Placement Offerings; managing director; started 4/8/21; 80 hrs/mo during trading hours; duties include Fund Management 3) AWM Holdings, LLC; Investment-Related; 75 Joel Drive., Hebron, CT 06248; Holding company for entities organized for securities business; managing director; started 5/11/2021; 1 hr/month during trading hours; oversee business operations. 4) Alternative Tax Management, LLC; Non-investment related; 75 Joel Drive, Hebron, CT 06248; Tax Preparation/accounting; managing director; started 9/1/2022; 40 hrs/month during trading hours; manage the platform. 5) AWM Clean Energy Fund, LLC; investment-related; 75 Joel Drive, Hebron, CT 06248; Private Placement Fund; Fund Manager; started 9/21/2022; 40 hrs/mo during trading hrs; duties include manage day-to-day Operations of the fund.
CRS (Client Relationship Summary) - RIA
Click below to view Jason Glen Pueschel's 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®
NoneExperience
Current
January 2, 2025 - Present
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
Hebron, CT
Current
July 13, 2020 - Present
PATRICK CAPITAL MARKETS, LLC
Office #1: 11152 South Towne Square, St. Louis, MO 63123BD
CRD#: 16518
St. Louis, MO
Past
May 25, 2022 - December 31, 2024
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
Hebron, CT
Past
January 9, 2019 - July 14, 2020
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
Wethersfield, CT
Past
September 8, 2017 - July 14, 2020
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
Wethersfield, CT
Past
January 28, 2016 - January 31, 2017
PREFERRED CAPITAL SECURITIES, LLC
BD
CRD#: 169719
ATLANTA, GA
Past
January 28, 2014 - January 16, 2015
EDI FINANCIAL, INC.
BD
CRD#: 15699
IRVING, TX
Past
August 9, 2012 - June 19, 2013
BLUEROCK CAPITAL MARKETS LLC
BD
CRD#: 136974
NEW YORK, NY
Past
August 16, 2011 - July 3, 2012
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
ST LOUIS, MO
Past
September 2, 2010 - March 11, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
GLASTONBURY, CT
Past
April 7, 2010 - July 16, 2010
SAXONY SECURITIES, INC.
BD
CRD#: 115547
GLASTONBURY, CT
Past
February 26, 2010 - July 16, 2010
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
HEBRON, CT
Past
October 16, 2009 - September 9, 2010
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
ST LOUIS, MO
Past
May 12, 2008 - August 14, 2009
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
Past
July 18, 2007 - April 8, 2008
ALLIANZ LIFE FINANCIAL SERVICES, LLC
BD
CRD#: 612
MINNEAPOLIS, MN
Past
September 27, 2001 - July 9, 2007
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
DENVER, CO
Past
November 6, 1998 - April 6, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 14, 1995 - April 29, 1998
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
May 16, 1994 - May 12, 1995
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
BD
CRD#: 15654
NEW YORK, NY
Past
December 8, 1992 - September 10, 1993
DOMINARI SECURITIES LLC
BD
CRD#: 18975
NEW YORK, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(11/17/2020)
RR
California(12/16/2020)
RR
Colorado(10/13/2021)
RR
Connecticut(7/13/2020)
IAR
Connecticut(1/2/2025)
RR
Delaware(11/22/2021)
RR
Florida(10/23/2020)
RR
Georgia(11/17/2020)
RR
Hawaii(12/5/2024)
RR
Idaho(11/7/2022)
RR
Illinois(12/15/2023)
RR
Indiana(8/2/2023)
RR
Louisiana(8/18/2022)
RR
Maine(2/18/2021)
RR
Maryland(12/7/2022)
RR
Massachusetts(12/3/2021)
RR
Minnesota(11/17/2020)
RR
Missouri(12/22/2023)
RR
Nebraska(3/7/2025)
RR
Nevada(11/21/2023)
RR
New Hampshire(12/22/2022)
RR
New Jersey(11/17/2020)
RR
New York(4/1/2022)
RR
North Carolina(12/10/2020)
RR
Ohio(12/15/2022)
RR
Oklahoma(2/1/2022)
RR
Oregon(12/22/2021)
RR
Pennsylvania(11/17/2020)
RR
South Carolina(11/17/2020)
RR
South Dakota(12/9/2024)
RR
Tennessee(11/18/2021)
RR
Texas(12/7/2020)
RR
Washington(11/29/2023)
RR
Wisconsin(11/18/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
