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PD

Paul V. Dimartino

PATRICK CAPITAL MARKETS
Irvine, CA
Some features on this profile are disabled
CRD#: 2856307
PD

Professional summary

Paul Vincent Dimartino, who also goes by Paul V Dimartino, 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 1997. Paul has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Paul V Dimartino

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 Paul Vincent Dimartino'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

May 2, 2018 - Present

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Irvine, CA
Past

November 3, 2016 - November 17, 2017

RFS PARTNERS

BD
CRD#: 18119
DENVER, CO
Past

July 27, 2015 - January 29, 2016

KBS CAPITAL MARKETS GROUP LLC

BD
CRD#: 132299
NEWPORT BEACH, CA
Past

December 2, 2013 - July 31, 2015

ORCHARD SECURITIES, LLC

BD
CRD#: 133378
PLEASANT GROVE, UT
Past

March 15, 2013 - November 5, 2013

PROSHARE ADVISORS LLC

RIA
CRD#: 134155
MIAMI, FL
Past

February 27, 2008 - November 5, 2013

PROFUNDS DISTRIBUTORS, INC.

BD
CRD#: 19541
BETHESDA, MD
Past

April 2, 2007 - January 23, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
MIAMI, FL
Past

April 2, 2007 - January 23, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
MIAMI, FL
Past

March 22, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
MIAMI, FL
Past

March 18, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
MIAMI, FL
Past

April 4, 1997 - April 6, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
DEL RAY BEACH, FL
Past

March 27, 1997 - April 6, 2005

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
California
(5/2/2018)
RR
Florida
(5/2/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/1997
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/15/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/30/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/26/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/20/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/20/2001
General Securities Sales Supervisor - Options Module 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#: 16518Irvine, CA

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