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Gregory Daniel Bender

CRD# 2615836·Registered 1995 - 2018
Previously Registered: Being a previously registered professional could mean that Gregory 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.

Professional Summary

Gregory Daniel Bender, who also goes by Gregory Bender, was a registered financial advisor. Gregory was a previously registered financial professional and started their career in finance 1995 - 2018. Gregory had worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Gregory Bender

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

PATRICK CAPITAL MARKETS, LLC·CRD# 16518
BD
Trabuco Canyon, CA
April 10, 2015 - April 30, 2018
GNV ADVISORS, LLC·CRD# 147286
BD
Chicago, IL
November 12, 2013 - January 23, 2015
MIDAMERICA FINANCIAL SERVICES, INC.·CRD# 47351
BD
Joplin, MO
January 19, 2012 - December 31, 2012
PRINCIPAL SECURITIES, INC.·CRD# 1137
BD
Des Moines, IA
January 6, 2009 - November 10, 2010
PRINCIPAL FUNDS DISTRIBUTOR, INC.·CRD# 43261
BD
Des Moines, IA
April 3, 2008 - June 10, 2011
QUASAR DISTRIBUTORS, LLC·CRD# 103848
BD
Portland, ME
June 2, 2006 - April 2, 2008
D.H. HILL SECURITIES, LLLP·CRD# 41528
BD
Kingwood, TX
December 19, 2005 - May 17, 2006
PGIM INVESTMENTS LLC·CRD# 105670
RIA
Orlando, FL
October 29, 2004 - April 21, 2005
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC·CRD# 18353
BD
Newark, NJ
January 1, 1997 - April 21, 2005
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
May 29, 1996 - January 1, 1997
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
June 21, 1995 - September 26, 1995

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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)

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

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY FINANCIAL HOLDINGS, LLC.SOLE OWNER/ MEMBER—
KLUMP, RYAN CHRISTOPHERCHIEF EXECUTIVE OFFICER4762698
MATARAZZI, NATHAN DOMENICOFINOP, POO, AND PFO4827090
MITCHELL, JARAD BYRAMPRESIDENT4811305
WEBSTER, TERRANCE MICHAELCHIEF COMPLIANCE OFFICER6826889

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed May 2015About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2004About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1995About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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