Donald Deans

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CRD#: 2870570

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.

Donald Deans, who also goes by Don Deans, Donald Michael Deans, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1997. Donald had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Don Deans | Donald Michael Deans

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)

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

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

Past

April 18, 2019 - December 3, 2020

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

Charlotte, NC

Past

April 18, 2019 - December 3, 2020

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

ST LOUIS, MO

Past

December 7, 2017 - July 26, 2018

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

May 24, 2016 - October 20, 2017

DEMPSEY LORD SMITH, LLC

RIA

CRD#: 141238

CHARLOTEE, NC

Past

May 24, 2016 - October 20, 2017

DEMPSEY LORD SMITH, LLC

CRD#: 141238

ROME, GA

Past

November 20, 2015 - May 17, 2016

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

Charlotte`, NC

Past

August 27, 2015 - May 17, 2016

SANDLAPPER SECURITIES, LLC

CRD#: 137906

GREENVILLE, SC

Past

January 2, 2013 - August 26, 2015

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 149124

CHARLOTTE, NC

Past

March 16, 2006 - December 31, 2012

CIC ADVISERS, LLC

RIA

CRD#: 130735

RALEIGH, NC

Past

March 15, 2006 - August 26, 2015

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

December 19, 2003 - March 1, 2006

EQUITY SERVICES, INC.

RIA

CRD#: 265

CHARLOTTE, NC

Past

December 16, 2003 - March 1, 2006

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

April 1, 1997 - November 24, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692 / SEC#: 801-68385

RIA

Registered Investment Advisory firm - (10/15/2007 Approved)

Arkansas

Registered Investment Advisory firm - (10/15/2007 Terminated)

California

Registered Investment Advisory firm - (10/15/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (10/15/2007 Terminated)

Florida

Registered Investment Advisory firm - (10/15/2007 Terminated)

Indiana

Registered Investment Advisory firm - (10/24/2005 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/16/2007 Terminated)

Mississippi

Registered Investment Advisory firm - (10/24/2005 Terminated)

Missouri

Registered Investment Advisory firm - (10/15/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (10/24/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (10/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - (10/15/2007 Terminated)

South Carolina

Registered Investment Advisory firm - (11/9/2005 Terminated)

Tennessee

Registered Investment Advisory firm - (5/31/2006 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2007 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2006 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/15/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/28/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/25/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2002

General Securities Principal Examination

Current Firm

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692 / SEC#: 801-68385

RIA

Registered Investment Advisory firm - (10/15/2007 Approved)

Arkansas

Registered Investment Advisory firm - (10/15/2007 Terminated)

California

Registered Investment Advisory firm - (10/15/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (10/15/2007 Terminated)

Florida

Registered Investment Advisory firm - (10/15/2007 Terminated)

Indiana

Registered Investment Advisory firm - (10/24/2005 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/16/2007 Terminated)

Mississippi

Registered Investment Advisory firm - (10/24/2005 Terminated)

Missouri

Registered Investment Advisory firm - (10/15/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (10/24/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (10/15/2007 Terminated)

Ohio

Registered Investment Advisory firm - (10/15/2007 Terminated)

South Carolina

Registered Investment Advisory firm - (11/9/2005 Terminated)

Tennessee

Registered Investment Advisory firm - (5/31/2006 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2007 Terminated)

Utah

Registered Investment Advisory firm - (12/31/2006 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/15/2007 Terminated)

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Contact information

Main Address

11152 S Towne Square, Saint Louis, MO 63123

Mailing Address

Phone number

(314) 963-9336

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCM BROCHURE 3.10.25 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,307
AUM (Assets Under Management)	$ 297,922,213

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Donald Deans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PATRICK CAPITAL MARKETS, LLC

EMERSON EQUITY LLC

DEMPSEY LORD SMITH, LLC

DEMPSEY LORD SMITH, LLC

COLONY PARK FINANCIAL SERVICES LLC.

SANDLAPPER SECURITIES, LLC

CAPITAL INVESTMENT ADVISORY SERVICES, LLC

CIC ADVISERS, LLC

CAPITAL INVESTMENT GROUP, INC.

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

SAXONY CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1998

Series 63

Date: 4/1/1997

SIE

Date: 7/26/2018

Series 7

Date: 12/22/1998

Series 6

Date: 3/25/1997

Series 24

Date: 5/6/2002

Current Firm

SAXONY CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAXONY CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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