TM
Tim A. Mackowiak
SAXONY CAPITAL MANAGEMENT
Webster Groves, MO
Some features on this profile are disabled
CRD#: 4525924
TM
Professional summary
Tim A Mackowiak, who also goes by Tim Mackowiak, Timothy A. Mackowiak, Timothy Mackowiak, is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Webster Groves, Missouri and SAXONY SECURITIES, INC. located in St. Louis, Missouri.
Tim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Tim has worked at 7 firms and has passed the Series 66, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Mackowiak | Timothy A. Mackowiak | Timothy Mackowiak
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.
CRS (Client Relationship Summary) - RIA
Click below to view Tim A Mackowiak'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
March 5, 2025 - Present
SAXONY CAPITAL MANAGEMENT, LLC
Office #2: 11152 S Towne Square, Saint Louis, MO 63123RIA
CRD#: 122692
Webster Groves, MO
Current
February 11, 2025 - Present
SAXONY SECURITIES, INC.
Office #1: 11152 S Towne Square, St. Louis, MO 63123BD
CRD#: 115547
St. Louis, MO
Past
August 30, 2018 - October 23, 2024
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
ST LOUIS, MO
Past
April 17, 2009 - November 16, 2016
FIRST CLEARING, LLC
BD
CRD#: 17344
ST. LOUIS, MO
Past
October 8, 2008 - September 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
October 8, 2008 - September 7, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 27, 2005 - August 12, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ST. LOUIS, MO
Past
July 22, 2005 - August 12, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ST. LOUIS, MO
Past
August 27, 2002 - August 16, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
KANSAS CITY, MO
Past
May 31, 2002 - August 16, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
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
Florida(8/22/2025)
RR
Massachusetts(2/26/2025)
RR
Missouri(2/11/2025)
IAR
Missouri(3/5/2025)
RR
Nevada(2/26/2025)
RR
Texas(2/26/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/4/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
