GS
Gary L. Shumate
SAXONY CAPITAL MANAGEMENT
Dowingtown, PA
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CRD#: 4520199
GS
Professional summary
Gary L Shumate JR, who also goes by Gary L Shumate, is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Dowingtown, Pennsylvania and SAXONY SECURITIES, INC. located in Downingtown, Pennsylvania.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Gary has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gary L Shumate
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) PATRIOT PRIVATE WEALTH MANAGEMENT (DBA) FOR INVESTMENT RELATED BUSINESS, 238 TRUMAN WAY, DOWNINGTOWN, PA 19335 2) 963 PROPERTIES, LLC; LLC CREATED FOR RENTAL PROPERTIES, NON-SECURITIES RELATED, OWNER, 1% OF TIME PER MONTH 3) FIXED INSURANCE BUSINESS THROUGH ASSOCIATED LIFE BROKERAGE, NOT INVESTMENT RELATED, 135 ROUTE 202/206 BEDMINISTER, NJ 07921, FIXED INSURANCE, INDEPENDENT AGENT, 10 HOURS/WK. 4) goFundme, 238 Truman Way, Downingtown, PA 19335, Established to help life long friend Donald Terry Moore with quality of life assistance, website: https://gofund.me/b8a9a693; Organizer less than 10hrs per month. 5) Bros Keeper, LLC, non-investment related, 238 Truman Way, Downingtown, PA 19335, Real Estate Holding Company, member, Begins 8/8/2025, 4 hours per month, 0 during trading hours, real estate sales.
CRS (Client Relationship Summary) - RIA
Click below to view Gary L Shumate JR'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
January 2, 2025 - Present
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
Dowingtown, PA
Current
November 14, 2013 - Present
SAXONY SECURITIES, INC.
BD
CRD#: 115547
DOWNINGTOWN, PA
Past
November 14, 2013 - December 31, 2024
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
DOWNINGTOWN, PA
Past
March 21, 2011 - October 23, 2013
MORGAN STANLEY
RIA
CRD#: 149777
BRYN MAWR, PA
Past
March 21, 2011 - October 23, 2013
MORGAN STANLEY
BD
CRD#: 149777
BRYN MAWR, PA
Past
March 24, 2010 - March 23, 2011
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
PHILADELPHIA, PA
Past
January 11, 2010 - March 23, 2011
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
PHILADELPHIA, PA
Past
September 29, 2009 - December 18, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CONSHOHOCKEN, PA
Past
February 23, 2005 - September 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
BRYN MAWR, PA
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".
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
CRD#: 122692 / SEC#: 801-68385
RIA
Registered Investment Advisory firm - (10/15/2007 Approved)Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)California
Registered Investment Advisory firm - (10/15/2007 Terminated)Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)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.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
Delaware(1/17/2014)
RR
Florida(5/2/2022)
RR
New Jersey(11/27/2013)
RR
New York(9/21/2017)
RR
Pennsylvania(11/14/2013)
IAR
Pennsylvania(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SAXONY CAPITAL MANAGEMENT, LLC
9DOT WEALTH | SAXONY SECURITIES, INC. | SAXONY INVESTMENT MANAGEMENT CORP. | SAXONY INSURANCE AGENCY, LLC | SAXONY CAPITAL MANAGEMENT, LLC | SAXONY CAPITAL MANAGEMENT LLC. | SAXONY ADVISORS | IRONHORSE INVESTMENTS & ESTATE PLANNING
CRD#: 122692 / SEC#: 801-68385
RIA
Registered Investment Advisory firm - (10/15/2007 Approved)Arkansas
Registered Investment Advisory firm - (10/15/2007 Terminated)California
Registered Investment Advisory firm - (10/15/2007 Terminated)Connecticut
Registered Investment Advisory firm - (10/15/2007 Terminated)Florida
Registered Investment Advisory firm - (10/15/2007 Terminated)Indiana
Registered Investment Advisory firm - (10/24/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (1/16/2007 Terminated)Mississippi
Registered Investment Advisory firm - (10/24/2005 Terminated)Missouri
Registered Investment Advisory firm - (10/15/2007 Terminated)New Jersey
Registered Investment Advisory firm - (10/24/2007 Terminated)North Carolina
Registered Investment Advisory firm - (10/15/2007 Terminated)Ohio
Registered Investment Advisory firm - (10/15/2007 Terminated)South Carolina
Registered Investment Advisory firm - (11/9/2005 Terminated)Tennessee
Registered Investment Advisory firm - (5/31/2006 Terminated)Texas
Registered Investment Advisory firm - (10/15/2007 Terminated)Utah
Registered Investment Advisory firm - (12/31/2006 Terminated)Wisconsin
Registered Investment Advisory firm - (10/15/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11152 S Towne Square, Saint Louis, MO 63123
Mailing Address
Phone number
(314) 963-9336
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,307 |
| AUM (Assets Under Management) | $ 297,922,213 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
