Dmitry Feldman

SAXONY SECURITIES

Deerfield, IL 60015

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CRD#: 2862866

Professional summary

Dmitry Feldman is a registered financial professional currently at SAXONY SECURITIES, INC. located in Deerfield, Illinois.

Dmitry is registered as a RR (Registered Representative) and started their career in finance in 1997. Dmitry has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dmitry Feldman'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

August 1, 2016 - Present

SAXONY SECURITIES, INC.

Office #1: 1020 Milwaukee Ave Suite 238, Deerfield, IL 60015

CRD#: 115547

Deerfield, IL

Past

February 8, 2013 - August 2, 2016

FORESIGHT INVESTMENTS, LLC

CRD#: 132644

NORTHBROOK, IL

Past

May 17, 2002 - January 13, 2012

BIRKELBACH INVESTMENT SECURITIES, INC.

CRD#: 11490

CHICAGO, IL

Past

January 2, 2002 - March 22, 2002

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

November 24, 1999 - December 31, 2001

OAK BROOK SECURITIES CORP.

CRD#: 16886

OAKBROOK TERRACE, IL

Past

July 15, 1998 - August 26, 1999

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

April 25, 1997 - June 17, 1998

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(8/1/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/30/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/24/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SAXONY SECURITIES, INC.

SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAXONY HOLDINGS, INC.	SHAREHOLDER
CLARK, BRIAN LESLEY	CFO	4802438
GRIFFARD, RICHARD EDWARD	PRESIDENT/CEO/DIRECTOR	2472251
KLUMP, RYAN CHRISTOPHER	COO	4762698
MATARAZZI, NATHAN DOMENICO	FINOP, PFO AND POO	4827090
PALOS, KURT ROBERT	VICE PRESIDENT	6063745
PFEIFFER, STEPHANIE ANN	CCO	2278515

Disclosures

Regulatory Event	2
Arbitration	1

Red Flags

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Dmitry Feldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dmitry Feldman's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIGHT INVESTMENTS, LLC

BIRKELBACH INVESTMENT SECURITIES, INC.

WATERSTONE FINANCIAL GROUP, INC.

OAK BROOK SECURITIES CORP.

WS GRIFFITH SECURITIES, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/1999

Series 63

Date: 4/24/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/30/2003

Series 6

Date: 4/24/1997

FINRA

Current Firm

SAXONY SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SAXONY SECURITIES, INC.

TRUST BUT VERIFY

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