Gregory D. Bender
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.
Gregory Daniel Bender, who also goes by Gregory Bender, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1995. Gregory had worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2015 - April 30, 2018
PATRICK CAPITAL MARKETS, LLC
November 12, 2013 - January 23, 2015
GNV ADVISORS, LLC
January 19, 2012 - December 31, 2012
MIDAMERICA FINANCIAL SERVICES, INC.
January 6, 2009 - November 10, 2010
PRINCIPAL SECURITIES, INC.
April 3, 2008 - June 10, 2011
PRINCIPAL FUNDS DISTRIBUTOR, INC.
June 2, 2006 - April 2, 2008
QUASAR DISTRIBUTORS, LLC
December 19, 2005 - May 17, 2006
D.H. HILL SECURITIES, LLLP
October 29, 2004 - April 21, 2005
PGIM INVESTMENTS LLC
January 1, 1997 - April 21, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 29, 1996 - January 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 21, 1995 - September 26, 1995
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
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
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.
