RG
Richard E. Griffard
SAXONY SECURITIES
St. Louis, MO 63123
Some features on this profile are disabled
CRD#: 2472251
RG
Professional summary
Richard Edward Griffard, who also goes by Rick Griffard, is a registered financial professional currently at SAXONY SECURITIES, INC. located in St. Louis, Missouri.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 10 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, Series 82TO, SIE, Series 7, Series 39, Series 26, Series 14, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Griffard
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) RECA GROUP INC, NOT INVESTMENT RELATED, 11152 SOUTH TOWNE SQUARE, ST. LOUIS, MO 63123-SOFTWARE LESSOR, OWNER; 8/26/02, I HR/MO, 1 HR/MODURING TRADING, MANAGE BUSINESS 2) MRV BANKS, INC, NOT INVESTMENT REALTED, 871 STE. GENEVIEVE DRIVE, ST. GENEVIEVE, MO 63670. BANKING DIRECTOR. 12/29/05. OCCURING DURING NORMAL BUS HRS, 16 HRS/MON, BOARD MEMBER COMPENSATION- BOARD FEES. 3)SAXONY FINANCIAL HOLDINGS, LLC; NOT INVESTMENT RELATED, 11152 SOUTH TOWNE SQUARE, ST. LOUIS, MO 63123; HOLDING COMPANY OF PATRICK CAPITAL MARKETS, LLC, SAXONY INSURANCE AGENCY, LLC, AND SAXONY CAPITAL MANAGEMENT, LLC WITH MULTIPLE OWNERS FOR THE CONTROL OF EXISTING BUSINESS ENTITIES; PARTNER/SHAREHOLDER; START DATE 01/01/2003; 2 HRS/MO, 2 HRS/MO DURING TRADING HOURS. 4) SAXONY HOLDINGS, INC.; NOT INVESTMENT RELATED, 11152 SOUTH TOWNE SQUARE, ST. LOUIS, MO 63123; HOLDING COMPANY OF SAXONY SECURITIES, INC. WITH MULTIPLE OWNERS FOR THE CONTROL OF AN EXISTING BUSINESS ENTITY; PARTNER/SHAREHOLDER; START DATE 12/31/2007; 2 HRS/MO, 2 HRS/MO DURING TRADING HOURS. 5) MRV Bank Holding Company, Not investment related, 871 Ste. Genevieve Dr., Ste. Genevieve, MO 63670, Holding company for MRV Banks, Director, 12/2005, 1 hr/mo, not during trading hours, Board Member
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Griffard'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
February 13, 2002 - Present
SAXONY SECURITIES, INC.
Office #1: 11152 S Towne Square, St. Louis, MO 63123BD
CRD#: 115547
St. Louis, MO
Past
April 12, 2016 - December 21, 2018
PINNACLE CAPITAL SECURITIES, LLC
BD
CRD#: 106213
St. Louis, MO
Past
February 3, 2014 - November 24, 2014
RUDIS CAPITAL MANAGEMENT, INC.
RIA
CRD#: 169494
ST. LOUIS, MO
Past
September 30, 2010 - December 31, 2023
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
St. Louis, MO
Past
December 2, 2008 - December 10, 2008
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
ST LOUIS, MO
Past
July 30, 2008 - October 29, 2009
CORNERSTONE SELECT ADVISORS, LLC
RIA
CRD#: 144044
ST. LOUIS, MO
Past
September 16, 2004 - June 23, 2025
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
SAINT LOUIS, MO
Past
October 25, 1996 - October 1, 2001
EISNER SECURITIES, INC.
BD
CRD#: 40585
ST. LOUIS, MO
Past
January 31, 1995 - October 16, 1996
CLEARING SERVICES OF AMERICA, INC.
BD
CRD#: 23623
ST. LOUIS, MO
Past
January 6, 1995 - January 30, 1995
DICKINSON & CO.
BD
CRD#: 689
DES MOINES, IA
Past
June 7, 1994 - January 15, 1995
MONTANO SECURITIES CORPORATION
BD
CRD#: 7887
ORANGE, CA
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
Arkansas(4/4/2002)
RR
California(6/21/2002)
RR
Colorado(7/18/2002)
RR
Connecticut(1/21/2003)
RR
Florida(1/30/2009)
RR
Georgia(6/27/2012)
RR
Hawaii(2/27/2024)
RR
Indiana(2/19/2003)
RR
Massachusetts(12/15/2014)
RR
Mississippi(2/15/2007)
RR
Missouri(2/22/2002)
RR
New Hampshire(1/3/2005)
RR
New Jersey(10/29/2008)
RR
New Mexico(1/31/2003)
RR
New York(6/14/2024)
RR
North Carolina(5/7/2002)
RR
Ohio(4/1/2002)
RR
Oregon(2/25/2003)
RR
Pennsylvania(1/3/2003)
RR
Rhode Island(6/4/2002)
RR
Texas(7/23/2002)
RR
West Virginia(5/16/2002)
RR
Wyoming(6/24/2002)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES
CRD#: 115547 / SEC#: , 8-53490
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
