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MW

Melissa R. Wendt

PATRICK CAPITAL MARKETS
St. Louis, MO 63123
Some features on this profile are disabled
CRD#: 4634557
MW

Professional summary

Melissa Renae Wendt is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in St. Louis, Missouri.

Melissa is registered as a RR (Registered Representative) and started their career in finance in 2005. Melissa has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1.) Horizon Investments; Indianapolis, IN; Investment related; started 11/06/2017; investment management firm; wholesaler; marketing Horizon Investment's offerings to FINRA registered individuals affiliated with approved broker dealers; 240 hours per month with 0 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Melissa Renae Wendt'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 8, 2024 - Present

PATRICK CAPITAL MARKETS, LLC

Office #1: 11152 South Towne Square, St. Louis, MO 63123
BD
CRD#: 16518
St. Louis, MO
Past

January 2, 2018 - September 19, 2023

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

November 21, 2017 - September 5, 2023

HORIZON INVESTMENTS LLC

RIA
CRD#: 109552
Indianapolis, IN
Past

February 22, 2016 - November 6, 2017

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
INDIANAPOLIS, IN
Past

February 22, 2016 - November 6, 2017

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

September 17, 2012 - May 4, 2015

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
FRANKLIN, TN
Past

September 17, 2012 - May 4, 2015

CURIAN CLEARING, LLC

BD
CRD#: 132938
FRANKLIN, TN
Past

November 20, 2007 - October 25, 2010

TRANSAMERICA INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108488
INDIANAPOLIS, IN
Past

August 29, 2007 - October 25, 2010

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

June 29, 2005 - August 13, 2007

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
MENOMONEE FALLS, WI
Past

June 8, 2005 - August 13, 2007

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
MENOMONEE FALLS, WI

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
New Jersey
(11/8/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2005
Uniform Combined 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: 6/7/2005
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
CLARK, BRIAN LESLEYPRESIDENT, CEO, AND CFO4802438
KLUMP, RYAN CHRISTOPHERSENIOR VICE PRSIDENT4762698
MATARAZZI, NATHAN DOMENICOFINOP, POO AND PFO4827090
MITCHELL, JARAD BYRAMCOO4811305
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#: 16518St. Louis, MO 63123

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