Daniel J. Schaub
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.
Daniel Joseph Schaub was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1972. Daniel had worked at 10 firms and has passed the Series 52TO, Series 57TO, SIE, Series 55, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2019 - December 31, 2020
PATRICK CAPITAL MARKETS, LLC
February 8, 2018 - December 31, 2018
SAXONY SECURITIES, INC.
December 16, 2015 - March 1, 2016
OAKBRIDGE FINANCIAL SERVICES
January 17, 2014 - December 31, 2014
PINNACLE CAPITAL SECURITIES, LLC
January 1, 2008 - January 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
April 23, 1981 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 31, 1978 - May 24, 1981
KIDDER, PEABODY & CO. INCORPORATED
March 8, 1978 - May 3, 1979
REINHOLDT & GARDNER INCORPORATED
November 4, 1976 - March 21, 1978
WEEDEN & CO.
May 3, 1972 - May 18, 1977
BACHE & CO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 11/28/2022
Municipal Securities Representative ExaminationSeries 57TO
Date: 11/28/2022
Securities Trader ExamSeries 55
Date: 1/25/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 5/1/1972
Registered Representative ExaminationCurrent Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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