BC
Brian L. Clark
SAXONY CAPITAL MANAGEMENT
Saint Louis, MO 63123
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CRD#: 4802438
BC
Professional summary
Brian Lesley Clark, who also goes by Brian L Clark, is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Saint Louis, Missouri and PATRICK CAPITAL MARKETS, LLC located in St. Louis, Missouri.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Brian has worked at 5 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, Series 82TO, SIE, Series 3, Series 7, Series 39, Series 26, Series 14, Series 24 and Series 28 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian L Clark
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) SAXONY FINANCIAL HOLDINGS, LLC; NOT INVESTMENT RELATED, 11152 SOUTH TOWNE SQUARE, ST. LOUIS, MO 63123; HOLDING COMPANY OF PATRICK CAPITAL MARKETS, LLC, SAXONY INSURANCE AGENCY, LLC., AND SAXONY CAPITAL MANAGEMENT, LLC WITH MULTIPLE OWNERS FOR THE CONTROL OF EXISTING BUSINESS ENTITIES; PARTNER/SHAREHOLDER; START DATE 04/10/2006; 2 HRS/MO, 2 HRS/MO DURING TRADING HOURS. 2) SAXONY HOLDINGS, INC.; NOT INVESTMENT RELATED, 11152 SOUTH TOWNE SQUARE, ST. LOUIS, MO 63123; HOLDING COMPANY OF SAXONY SECURITIES, INC. WITH MULTIPLE OWNERS FOR THE CONTROL OF AN EXISTING BUSINESS ENTITY; PARTNER/SHAREHOLDER; STATE DATE 12/31/2007; 2 HRS/MO, 2 HRS/MO DURING TRADING HOURS. 3) RECA Group, Inc., Not investment related, 11152 SOUTH TOWNE SQUARE, ST. LOUIS, MO 63123, Software lessor, Vice President, 10/1/16, 1 hr/mo, 1 hr/mo during trading, manage business 4) MRV Bank Holding Company, Not investment related, 871 Ste. Genevieve Dr., Ste. Genevieve, MO 63670, Holding company for MRV Banks, Director, 4/18/18, 1 hr/mo, not during trading hours, Board Member 6) MRV Banks, Not investment related, 871 Ste. Genevieve Dr., Ste. Genevieve, MO 63670, Commercial Bank, Director, 4/18/18, 8 hrs/mo, 8 hrs/mo trading hours, Board Member
CRS (Client Relationship Summary) - RIA
Click below to view Brian Lesley Clark'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
September 18, 2007 - Present
SAXONY CAPITAL MANAGEMENT, LLC
Office #1: 11152 S Towne Square, Saint Louis, MO 63123RIA
CRD#: 122692
Saint Louis, MO
Current
April 1, 2009 - Present
PATRICK CAPITAL MARKETS, LLC
Office #1: 11152 South Towne Square, St. Louis, MO 63123BD
CRD#: 16518
St. Louis, MO
Past
January 3, 2014 - June 22, 2020
PINNACLE CAPITAL SECURITIES, LLC
BD
CRD#: 106213
St. Louis, MO
Past
December 2, 2008 - December 10, 2008
PATRICK CAPITAL MARKETS, LLC
BD
CRD#: 16518
ST LOUIS, MO
Past
January 28, 2008 - October 29, 2009
CORNERSTONE SELECT ADVISORS, LLC
RIA
CRD#: 144044
ST. LOUIS, MO
Past
September 9, 2004 - December 31, 2023
SAXONY SECURITIES, INC.
BD
CRD#: 115547
ST. LOUIS, MO
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
Alabama(12/6/2017)
RR
Alaska(11/1/2018)
RR
Arizona(12/20/2017)
RR
Arkansas(8/13/2018)
RR
California(10/10/2017)
RR
Colorado(12/7/2017)
RR
Connecticut(1/3/2018)
RR
Delaware(11/15/2019)
RR
District of Columbia(9/12/2018)
RR
Florida(10/10/2017)
RR
Georgia(2/23/2016)
RR
Hawaii(6/5/2019)
RR
Idaho(9/13/2018)
RR
Illinois(12/4/2017)
RR
Indiana(3/19/2010)
RR
Iowa(5/15/2018)
RR
Kansas(9/19/2018)
RR
Kentucky(11/2/2017)
RR
Louisiana(10/20/2017)
RR
Maine(9/7/2018)
RR
Maryland(1/11/2012)
RR
Massachusetts(11/27/2018)
RR
Michigan(12/19/2017)
RR
Minnesota(10/10/2017)
RR
Mississippi(1/3/2017)
IAR
Missouri(9/18/2007)
RR
Missouri(5/28/2009)
RR
Montana(12/21/2018)
RR
Nebraska(12/12/2018)
RR
Nevada(10/10/2017)
RR
New Hampshire(8/31/2018)
RR
New Jersey(9/24/2018)
RR
New Mexico(2/25/2019)
RR
New York(10/12/2017)
RR
North Carolina(11/9/2017)
RR
North Dakota(12/12/2018)
RR
Ohio(11/18/2010)
RR
Oklahoma(9/24/2018)
RR
Oregon(10/27/2017)
RR
Pennsylvania(11/1/2018)
RR
Rhode Island(8/7/2018)
RR
South Carolina(7/12/2011)
RR
South Dakota(1/6/2017)
RR
Tennessee(11/16/2017)
RR
Texas(7/8/2009)
RR
Utah(8/16/2018)
RR
Vermont(8/20/2018)
RR
Virginia(12/20/2017)
RR
Washington(9/24/2018)
RR
West Virginia(2/1/2022)
RR
Wisconsin(1/3/2017)
RR
Wyoming(11/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 9/8/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO 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
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.
