RS
Richard A. Saxon
SAXON FINANCIAL GROUP
Houston, TX 77027
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CRD#: 4066889
RS
Professional summary
Richard Allan Saxon is a registered financial advisor currently at SAXON FINANCIAL GROUP located in Houston, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Richard has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 7, Series 10 and Series 9 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.
1) I PURCHASED APPROX. 96 ACRES OF MY HOME BACK IN 1993. I LEASE OUT THE LAND FOR AGRICULTURAL PURPOSES. IN ADDITION I GROW OAK & PALM TREES FOR SALE AT A FUTURE DATE. I DO NOT INCLUDE CLIENTS IN ANY PART OF THE BUSINESS. 2) Name of Business : Saxon Interests, Inc. Address: Houston, TX Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 05/20/2019 Hours per month devoted to this business: 4 Hours per month devoted to this business during trading hours: 4 Description of duties: Saxon Financial Group is the name we hold out (DBA) however the name of the supporting S Corp is Saxon Interests, Inc 3) Saxon Financial Group Address: 1177 West Loop S Ste 1300,Houston, TX Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 05/01/2005 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Owner of support company 4) N/A - BELLVILLE, TX - 02/2014 TO PRESENT - AGRICULTURE/FARMING - I OWN A 120 ACRES AND I LEASE THE PASTURE TO A NEIGHBOR SO I GET AG EXEMPTION AND HE HAS A PLACE FOR HIS COWS TO GRAZE - 1 HOUR PER MONTH - 0 HOURS DURING TRADING HOURS - NOT INVESTMENT RELATED. 5) Saxon Financial Group Address: 1177 West Loop S Ste 1300,Houston, TX Nature of the Business: Non-variable Insurance Position/Title: Agent Investment Related:Yes Start Date: 01/23/2018 Hours per month devoted to this business: 6 Hours per month devoted to this business during trading hours: 4 Description of duties: I will meet with clients and assist them in assessing their need for life insurance. I will then bring in the life insurance expert to assist in providing the right solutions. 6. Saxon Financail Group Address: 1177 West Loop S Ste 1300,Houston, TX Nature of the Business: Independent RIA Position/Title: Officer - CEO Investment Related:Yes Start Date: 02/08/2021 Hours per month devoted to this business: 40 Hours per month devoted to this business during trading hours: 40 Description of duties: This is our new RIA. We are rolling out April 1, 2021
CRS (Client Relationship Summary) - RIA
Click below to view Richard Allan Saxon's 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®
NoneExperience
Current
February 18, 2021 - Present
SAXON FINANCIAL GROUP
Office #1: 1177 West Loop S Suite 1825, Houston, TX 77027RIA
CRD#: 311687
Houston, TX
Past
January 2, 2009 - April 8, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
HOUSTON, TX
Past
May 12, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
HOUSTON, TX
Past
April 29, 2005 - April 8, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
HOUSTON, TX
Past
June 11, 2003 - May 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOUSTON, TX
Past
June 11, 2003 - May 2, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 1, 2000 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
HOUSTON, TX
Past
December 10, 1999 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
SF
SAXON FINANCIAL GROUP
ERDIL FINANCIAL GROUP | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP
CRD#: 311687 / SEC#: 801-120283
RIA
Registered Investment Advisory firm - (2/9/2021 Approved)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.Highlighted states indicate IAR registrations
IAR
Texas(2/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/11/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SF
SAXON FINANCIAL GROUP
ERDIL FINANCIAL GROUP | SAXON INTERESTS, INC. | SAXON FINANCIAL GROUP | LOVE FINANCIAL GROUP
CRD#: 311687 / SEC#: 801-120283
RIA
Registered Investment Advisory firm - (2/9/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1177 West Loop S Suite 1825, Houston, TX 77027
Mailing Address
Phone number
(713) 425-5340
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,713 |
| AUM (Assets Under Management) | $ 616,477,568 |
Red Flags
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