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DD

Daniel Denton

Some features on this profile are disabled
CRD#: 5765062
DD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Denton, who also goes by Dan Denton, Daniel S. Denton, Daniel Scott Denton, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2010. Daniel had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Denton | Daniel S. Denton | Daniel Scott Denton

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.
BUSINESS CONSULTING/VOICE OVER/NARRATION/SOUND AND LIGHT ENGINEERING, NOT INV RELATED, ARNOLD, MO, 100% OWNER, START: 4/12/2018, 5 HOURS PER MONTH/0 DURING TRADING, DUTIES: AUDIO PRODUCTIONS, LIGHT AND SOUND DESIGN.; GRAMMA'S BAKERY, LLC; NOT INVESTMENT RELATED; ST. LOUIS,MO; 52% OWNERSHIP; START DATE 04/01/2021; NUMBER OF HOURS PER MONTH 25; NUMBER OF HOURS DURING TRADING 0; MANUFACTURING AND SALES OF BAKED GOODS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 28, 2023 - January 14, 2025

SAXONY SECURITIES, INC.

BD
CRD#: 115547
ST. LOUIS, MO
Past

October 25, 2018 - July 21, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ST. LOUIS, MO
Past

October 25, 2018 - July 21, 2023

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

September 15, 2014 - October 25, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
ST. LOUIS, MO
Past

September 15, 2014 - October 25, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 18, 2012 - September 17, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ST. LOUIS, MO
Past

January 17, 2012 - September 17, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 14, 2010 - January 11, 2012

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHESTERFIELD, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/9/2010
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: 4/13/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/23/2015
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/19/2014
General Securities Sales Supervisor - Options Module Examination

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 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 HOLDINGS, INC.SHAREHOLDER
CLARK, BRIAN LESLEYCFO4802438
GRIFFARD, RICHARD EDWARDPRESIDENT/CEO/DIRECTOR2472251
KLUMP, RYAN CHRISTOPHERCOO4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTVICE PRESIDENT6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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

SAXONY SECURITIES, INC.

CRD#: 115547

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