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LG

Lynn R. Griffard

SAXONY CAPITAL MANAGEMENT
Saint Louis, MO 63123
Some features on this profile are disabled
CRD#: 3076413
LG

Professional summary

Lynn Rae Griffard, who also goes by Lynn Rae Griffard Mrs., is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Saint Louis, Missouri and SAXONY SECURITIES, INC. located in St. Louis, Missouri.

Lynn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Lynn has worked at 3 firms and has passed the Series 63, Series 65, Series 99TO, Series 82TO, SIE, Series 7, Series 26, Series 39, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lynn Rae Griffard Mrs.

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.
1) FUZZY LOGIC LLC: NON-INVESTMENT RELATED, 4539 TELESTAR DR, ST. LOUIS, MO 63128: FOOD INDUSTRY: START DATE: 10/2015, 6 HOURS/MONTH, NOT DURING TRADING HOURS. DUTIES INCLUDE FOOD VENDOR/SERVICE. 2)SAXONY FINANCIAL HOLDINGS, LLC; NOT INVESTMENT RELATED, 11152 SOUTH TOWNE SQUARE, ST. LOUIS, MO 63123; HOLDING COMPANY OF PATRICK CAPITAL MARKETS, LLC, SAXONY INSURANCE AGENCY, LLC, AND SAXONY CAPITAL MANAGEMENT, LLC WITH MULTIPLE OWNERS FOR THE CONTROL OF EXISTING BUSINESS ENTITIES; PARTNER/SHAREHOLDER; START DATE 12/29/2019; 1 HR/MO, 1 HR/MO DURING TRADING HOURS. 3) SAXONY HOLDINGS, INC.; NOT INVESTMENT RELATED, 11152 SOUTH TOWNE SQUARE, ST. LOUIS, MO 63123; HOLDING COMPANY OF SAXONY SECURITIES, INC. WITH MULTIPLE OWNERS FOR THE CONTROL OF AN EXISTING BUSINESS ENTITY; PARTNER/SHAREHOLDER; START DATE 12/29/2019; 1 HR/MO, 1 HR/MO DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lynn Rae Griffard'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

September 22, 2008 - Present

SAXONY CAPITAL MANAGEMENT, LLC

Office #1: 11152 S Towne Square, Saint Louis, MO 63123
RIA
CRD#: 122692
Saint Louis, MO
Current

January 24, 2011 - Present

SAXONY SECURITIES, INC.

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

April 11, 2012 - May 28, 2021

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO

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

RR
Connecticut
(8/13/2025)
RR
Illinois
(8/14/2025)
IAR
Missouri
(9/22/2008)
RR
Missouri
(3/8/2011)
RR
New Jersey
(8/14/2025)
RR
Oklahoma
(8/14/2025)
RR
Pennsylvania
(8/22/2025)
RR
South Dakota
(8/14/2025)
RR
Tennessee
(8/14/2025)
RR
Washington
(8/14/2025)
RR
Wisconsin
(8/14/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/19/2008
Uniform Investment Adviser Law 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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/2/2023
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 1/2/2023
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/23/2011
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 (24 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 3.10.25 (3/10/2025)

Regulatory assets under management

Total Number of Accounts1,307
AUM (Assets Under Management)$ 297,922,213

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

SAXONY CAPITAL MANAGEMENT, LLC

CRD#: 122692Saint Louis, MO 63123

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