David J. Stieber

PATRICK CAPITAL MARKETS

Lake Elmo, MN 55042

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CRD#: 4178089

Professional summary

David Jeffrey Stieber is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Lake Elmo, Minnesota.

David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view David Jeffrey Stieber'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

January 2, 2024 - Present

PATRICK CAPITAL MARKETS, LLC

Office #1: 3275 Manning Ave N Suite 2, Lake Elmo, MN 55042

CRD#: 16518

Lake Elmo, MN

Past

March 18, 2009 - December 31, 2023

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

GOLDEN VALLEY, MN

Past

February 29, 2008 - December 5, 2008

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MINNEAPOLIS, MN

Past

April 12, 2004 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

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

Arizona
(1/2/2024)

California
(1/2/2024)

Colorado
(1/2/2024)

Florida
(1/2/2024)

Illinois
(1/2/2024)

Iowa
(1/2/2024)

Kansas
(1/2/2024)

Michigan
(1/2/2024)

Minnesota
(1/2/2024)

Missouri
(1/2/2024)

Nebraska
(1/2/2024)

Nevada
(7/8/2025)

New York
(1/2/2024)

North Dakota
(1/2/2024)

South Dakota
(1/2/2024)

Texas
(5/28/2025)

Wisconsin
(1/2/2024)

Exams

State Security Law Exam

Series 63

Date: 7/9/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/9/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/23/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PATRICK CAPITAL MARKETS, LLC

PATRICK CAPITAL MARKETS | PATRICK FINANCIAL CORPORATION | PATRICK CAPITAL MARKETS, LLC

CRD#: 16518 / SEC#: , 8-34099

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David J. Stieber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Jeffrey Stieber's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/9/2004

Series 24

Date: 2/23/2010

FINRA

Current Firm

PATRICK CAPITAL MARKETS, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PATRICK CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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