PS
Paul W. Simmons
PATRICK CAPITAL MARKETS
Irvine, CA
Some features on this profile are disabled
CRD#: 2390393
PS
Professional summary
Paul Winn Simmons is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1993. Paul has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
INDEPENDENT PRESBYTERIAN CHURCH POSITION: Elder NATURE: Religious INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/13/2019 ADDRESS: 3100 Highland Avenue South, Birmingham AL 35205, United States DESCRIPTION: Decisions for the wellbeing of the Church NEW OBA 2/1/2024 Name: Mike Slive Foundation Investment Related: No Address: P.O. Box 530748 Birmingham, AL 35253 Nature of Other Business: Non-Profit raising awareness and funds for prostate cancer cure Your position: Member of Board of Directors Title Relationship with OBA: Member of the Board of Directors will assist with Fundraising Start date: February 1, 2024 Approx. Number of Hours: 4 per year Number during trading hours: 4 per year Describe duties: Raising funds and serving on the Board of Directors New OBA 2/1/2024 Name of the Other Business: Independent Presbyterian Church Investment Related: No Address: 3100 Highland Ave South, Birmingham AL 35205 Nature of Other Business: was asked by our Church Leadership to be on the committee. My duties will include helping to interview potential candidates for the new associate pastor role as well as reviewing resumes that are submitted for the position. Your position: Committee Member Title: Committee Member-search committee Start Date: February 1, 2024 Number of Hours: 3 per month-mostly on weekends Number of hours during trading hours: 0 Describe Duties: Search committee, My duties will include helping to interview potential candidates for the new associate pastor role as well as reviewing resumes that are submitted for the position. THE COUNTRY CLUB OF BIRMINGHAM POSITION: Board of Governors, Pool Chairman NATURE: Country Club. Board meets monthly. No Compensation. I serve at the Pool and Family Services Chair and we have aPool Committee that meets monthly. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2021 ADDRESS: 3325 Country Club Road, Birmingham AL 35213, United States DESCRIPTION: I serve at the Pool and Family Services Chair and we have a Pool and Family Services Committee that meets monthly. Work closely with Aquatics Director, Family Services Director and Pool/Family Services Committee to decide what is best for our Aquatics and Family Services Programs UPDATE: 1/1/2023-No longer pool chair for this OBA-Still a board member and now Chairman of the History and Archives Committee. INDEPENDENT PRESBYTERIAN CHURCH-FINANCE COMMITTEE CHAIR POSITION: Finance Chair NATURE: I have a copy of the Charter in a PDF that I can submit. This includes the Purpose, Roles and Responsibilities of this Committee. Please advise on how I can submit this. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/19/2019 ADDRESS: 3100 Highland Ave. South, Birmingham AL 35205, United States DESCRIPTION: Available in a PDF Format. Need to know how to submit this UPDATE: 6/1/2023 No longer Finance Committee Chair or Elder, on the search committee for a new associate Pastor.
CRS (Client Relationship Summary) - BD
Click below to view Paul Winn Simmons'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
March 3, 2025 - Present
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
Irvine, CA
Past
February 20, 2019 - July 18, 2024
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
Birmingham, AL
Past
February 20, 2019 - July 18, 2024
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
CHARLOTTE, NC
Past
January 4, 2010 - February 20, 2019
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
SAN FRANCISCO, CA
Past
January 4, 2010 - February 20, 2019
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
CHARLOTTE, NC
Past
December 14, 2009 - January 4, 2010
EVERGREEN INVESTMENT MANAGEMENT CO
RIA
CRD#: 104594
BOSTON, MA
Past
May 17, 2005 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
November 19, 1999 - April 21, 2005
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
August 16, 1996 - October 15, 1999
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
October 5, 1993 - September 3, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
Alabama(3/3/2025)
RR
California(3/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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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