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NM

Nicole L. Monlon

PATRICK CAPITAL MARKETS
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 4193634
NM

Professional summary

Nicole Lia Monlon, who also goes by Nicole L Monlon, Nicole Monlon, is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2005. Nicole has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole L Monlon | Nicole Monlon

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 Nicole Lia Monlon'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

November 5, 2025 - Present

PATRICK CAPITAL MARKETS, LLC

Office #1: 18301 Von Karman Ave, Irvine, CA 92612
BD
CRD#: 16518
Irvine, CA
Past

October 7, 2021 - January 7, 2025

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

June 4, 2020 - August 18, 2020

SELECT CAPITAL CORPORATION

BD
CRD#: 145997
SAN JUAN CAPISTRANO, CA
Past

November 7, 2016 - June 21, 2019

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

April 17, 2014 - August 24, 2016

CNL SECURITIES CORP.

BD
CRD#: 10356
ORLANDO, FL
Past

March 9, 2012 - April 8, 2014

CAREY FINANCIAL, LLC

BD
CRD#: 15246
NEW YORK, NY
Past

September 16, 2009 - October 5, 2010

OAK STREET SECURITIES, INC.

BD
CRD#: 133591
FOREST LAKE, MN
Past

July 23, 2008 - November 26, 2008

AFA FINANCIAL GROUP, LLC

BD
CRD#: 127648
CALABASAS, CA
Past

April 10, 2007 - August 26, 2008

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

June 23, 2005 - September 6, 2006

GRUBB & ELLIS SECURITIES, INC.

BD
CRD#: 17932
SANTA ANA, CA

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
Arizona
(12/8/2025)
RR
California
(11/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/2012
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: 4/28/2005
General Securities 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
KLUMP, RYAN CHRISTOPHERCHIEF EXECUTIVE OFFICER4762698
MATARAZZI, NATHAN DOMENICOFINOP, POO, AND PFO4827090
MITCHELL, JARAD BYRAMPRESIDENT4811305
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 92612

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