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RB

Roland C. Baer

PATRICK CAPITAL MARKETS
St. Louis, MO 63123
Some features on this profile are disabled
CRD#: 2288777
RB

Professional summary

Roland Charles Baer III, who also goes by Roland Charles Baer, Roland Baer, Roland III Charles Baer, Rollie Bear, is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in St. Louis, Missouri.

Roland is registered as a RR (Registered Representative) and started their career in finance in 1994. Roland has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 55, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roland Charles Baer | Roland Baer | Roland Iii Charles Baer | Rollie Bear

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roland Charles Baer III's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 18, 2017 - Present

PATRICK CAPITAL MARKETS, LLC

Office #1: 11152 South Towne Square, St. Louis, MO 63123
BD
CRD#: 16518
St. Louis, MO
Past

April 20, 2016 - December 31, 2017

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
MANCHESTER, MO
Past

April 21, 2005 - March 1, 2010

TEJAS SECURITIES GROUP, INC.

BD
CRD#: 36705
ST. LOUIS, MO
Past

March 8, 2001 - April 25, 2005

ROCKHOUSE SECURITIES LLC

BD
CRD#: 104477
ST. LOUIS, MO
Past

November 8, 1999 - October 11, 2000

MOSES.COM SECURITIES, INC.

BD
CRD#: 21442
ST. LOUIS, MO
Past

February 1, 1994 - October 15, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(10/18/2018)
RR
Massachusetts
(11/16/2020)
RR
Minnesota
(2/28/2019)
RR
Missouri
(1/29/2018)
RR
New Hampshire
(2/25/2021)
RR
New York
(11/14/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 12/16/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 1/7/1993
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/9/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PATRICK CAPITAL MARKETS, LLC
PATRICK CAPITAL MARKETS | PATRICK FINANCIAL CORPORATION | PATRICK CAPITAL MARKETS, LLC

CRD#: 16518 / SEC#: , 8-34099

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 South Towne Square, St Louis, MO 63123
Mailing Address
11152 South Towne Square, St. Louis, MO 63123
Phone number
(314) 528-3000
Established
Missouri since 06/16/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY FINANCIAL HOLDINGS, LLC.SOLE OWNER/ MEMBER
CLARK, BRIAN LESLEYPRESIDENT, CEO, AND CFO4802438
KLUMP, RYAN CHRISTOPHERSENIOR VICE PRSIDENT4762698
MATARAZZI, NATHAN DOMENICOFINOP, POO AND PFO4827090
MITCHELL, JARAD BYRAMCOO4811305
WEBSTER, TERRANCE MICHAELCHIEF COMPLIANCE OFFICER6826889

Disclosures

Regulatory Event1

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.

Company Information

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518St. Louis, MO 63123

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