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RT

Roger I. Toledo

PATRICK CAPITAL MARKETS
Irvine, CA
Some features on this profile are disabled
CRD#: 5394291
RT

Professional summary

Roger Ivan Toledo is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.

Roger is registered as a RR (Registered Representative) and started their career in finance in 2007. Roger has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Ivan Toledo'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

October 6, 2025 - Present

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Irvine, CA
Past

December 15, 2020 - December 19, 2024

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
AUSTIN, TX
Past

December 4, 2020 - December 19, 2024

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
Austin, TX
Past

June 28, 2019 - December 31, 2019

KOVACK INTERNATIONAL ADVISORS INC.

RIA
CRD#: 170450
Fort Lauderdale, FL
Past

June 26, 2019 - December 31, 2019

LATIN SECURITIES INC.

BD
CRD#: 164117
Miami, FL
Past

June 30, 2010 - January 24, 2019

MORGAN STANLEY

RIA
CRD#: 149777
MIAMI, FL
Past

March 26, 2010 - January 24, 2019

MORGAN STANLEY

BD
CRD#: 149777
MIAMI, FL
Past

January 2, 2008 - April 11, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MIAMI, FL
Past

December 6, 2007 - April 11, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MIAMI, FL

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
California
(10/6/2025)
RR
Texas
(10/6/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/3/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/6/2010
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 3
Date: 2/3/2017
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2007
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

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