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TA

Thomas G. Avenia

PATRICK CAPITAL MARKETS
Irvine, CA
Some features on this profile are disabled
CRD#: 3153005
TA

Professional summary

Thomas G Avenia, who also goes by Tommy Avenia, is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tommy Avenia

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 Thomas G Avenia'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

October 31, 2024 - Present

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Irvine, CA
Past

March 24, 2011 - November 6, 2024

R.M. STARK & CO., INC.

BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past

July 2, 2010 - September 21, 2010

BURCH & COMPANY, INC

BD
CRD#: 102280
LEAWOOD, KS
Past

June 23, 2009 - February 5, 2010

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
ST LOUIS, MO
Past

January 14, 2009 - June 10, 2009

K-ONE INVESTMENT COMPANY, INC.

BD
CRD#: 16156
FORT SMITH, AR
Past

May 28, 2008 - September 19, 2008

OLD MUTUAL CAPITAL

RIA
CRD#: 131405
DENVER, CO
Past

June 13, 2006 - September 19, 2008

OLD MUTUAL INVESTMENT PARTNERS

BD
CRD#: 44916
DENVER, CO
Past

February 2, 1999 - June 2, 2006

NATIXIS DISTRIBUTION, LLC

BD
CRD#: 34754
BOSTON, MA

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
(10/31/2024)
RR
Kansas
(10/31/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/29/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/24/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/24/1998
Investment Company Products/Variable Contracts Representative 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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