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MT

Mark S. Thompson

SAXONY CAPITAL MANAGEMENT
St. Louis, MO
Some features on this profile are disabled
CRD#: 2975026
MT

Professional summary

Mark Stephen Thompson is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in St. Louis, Missouri and SAXONY SECURITIES, INC. located in St. Louis, Missouri.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 82TO, Series 79TO, SIE, Series 7, Series 6, Series 9, Series 26, Series 14, Series 39, Series 10, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Mark Stephen Thompson'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

April 16, 2004 - Present

SAXONY CAPITAL MANAGEMENT, LLC

Office #2: 11152 S Towne Square, Saint Louis, MO 63123
RIA
CRD#: 122692
St. Louis, MO
Current

September 22, 2003 - Present

SAXONY SECURITIES, INC.

Office #1: 11152 S Towne Square, St. Louis, MO 63123
BD
CRD#: 115547
St. Louis, MO
Past

April 17, 2015 - November 24, 2015

PINNACLE CAPITAL SECURITIES, LLC

RIA
CRD#: 106213
ST. LOUIS, MO
Past

January 22, 2014 - November 24, 2014

RUDIS CAPITAL MANAGEMENT, INC.

RIA
CRD#: 169494
ST. LOUIS, MO
Past

April 26, 2012 - December 31, 2018

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO
Past

June 8, 2007 - October 29, 2009

CORNERSTONE SELECT ADVISORS, LLC

RIA
CRD#: 144044
ST. LOUIS, MO
Past

February 5, 2002 - September 5, 2002

L.M. KOHN & COMPANY

BD
CRD#: 27913
CINCINNATI, OH
Past

March 20, 2000 - September 21, 2000

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

November 25, 1997 - July 23, 1998

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT

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".
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING

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)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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

IAR
Florida
(5/30/2007)
RR
Florida
(8/25/2025)
RR
Massachusetts
(9/4/2019)
RR
Missouri
(9/22/2003)
IAR
Missouri
(4/16/2004)
IAR
New Jersey
(2/8/2007)
RR
Texas
(12/2/2022)
IAR
Texas
(1/2/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/9/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/19/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/24/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/2/2023
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 39
Date: 1/2/2023
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/21/2015
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/3/2004
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/20/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING

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
6

SEC notice filing (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SCM BROCHURE 1.15.26 (1/15/2026)

Regulatory assets under management

Total Number of Accounts1,488
AUM (Assets Under Management)$ 367,861,457

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

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692St. Louis, MO

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