BD
Brent W. Derossett
SAXONY CAPITAL MANAGEMENT
Ozark, MO 65721
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CRD#: 6602749
BD
Professional summary
Brent Wayne Derossett is a registered financial advisor currently at SAXONY CAPITAL MANAGEMENT, LLC located in Ozark, Missouri and SAXONY SECURITIES, INC. located in Ozark, Missouri.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Brent has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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)Advocate CPAs & Advisors, LLC; non-investment related; 800 State Highway 248 4-F, Branson, MO 65616; CPA and Tax firm; co-owner; 12/2013; 170 hrs/month during trading hours; managing partner. 2)Honor Best Enterprises, LLC; non-investment related; 3508; N Wakefield, Ozark, MO 65721; rental property; co-owner; 12/2012; 5 hrs/month during non-trading hours; manages rental properties 3)Brent DeRossett Life Insurance Agent; investment related; 3508 N Wakefield, Ozark, MO 65721; agent; 12/2019; 10 hours/month; 4 hours during trading hours; sale of life insurance, ltd, fixed annuity products 4)Villages of Hillstone HOA; non-investment related; 3516 N Wakefield Dr, Ozark, MO 65721; Homeowner association; Board member and treasurer; 11/01/2022; 2 hours/month, 0 during trading hours; on the board of directors and serves as treasurer of residential homeowner association 5)Penthouse Condominium COA, Inc.; non-investment related; 1370 W Tracker Rd, Nixa, MO 65714; property owners association; director and president; 1/01/2014; 1 hr/month, 0 during trading hours; volunteer position, condo development 6)The Promenade COA, Inc.; non-investment related; 3000 Green Mtn Dr, Ste 107-415, Branson, MO 65616; property owners association; director; 11/04/2023; 1 hr/month, 0 during trading hours; volunteer position, condo development 7)Advocate Counseling LLC; non-investment related; 5507 N Farmer Branch Rd, Ozark, MO 65721; LLC entity owned by spouse, Debra DeRossett, who is licensed professional counselor- Brent has agent authority for banking purposes; agent and accountant; 9/11/2020; 1 hr/month, 0 during trading hours; volunteer position, has deposit account authority 8)Wayne DeRossett Scholarship Fund; non-investment related; 5507 N Farmer Branch Rd, Ozark, MO 65721; nonprofit corp that receives family contributions and disburses annual scholarships, in memorial tribute to Wayne DeRossett; director and officer; 4/26/2019; 1 hour/month, 0 during trading hours; volunteer position, disburses scholarships 9)Advocate CPAs & Advisors, LLC; DBA for investment related business
CRS (Client Relationship Summary) - RIA
Click below to view Brent Wayne Derossett'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
January 2, 2024 - Present
SAXONY CAPITAL MANAGEMENT, LLC
Office #1: 5507 N Farmer Branch Rd, Ozark, MO 65721Office #2: 800 State Hwy 248 Suite 2b, Branson, MO 65616RIA
CRD#: 122692
Ozark, MO
Current
January 2, 2024 - Present
SAXONY SECURITIES, INC.
Office #1: 5507 N Farmer Branch Rd, Ozark, MO 65721Office #2: 800 State Hwy 248 Ste 4f, Branson, MO 65616BD
CRD#: 115547
Ozark, MO
Past
May 12, 2020 - December 31, 2023
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Branson, MO
Past
January 13, 2020 - December 31, 2023
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
Branson, MO
Past
January 13, 2016 - December 31, 2019
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
Ozark, 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
Missouri(1/2/2024)
IAR
Missouri(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/2/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/12/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product 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.
Company Information
SAXONY CAPITAL MANAGEMENT, LLC
CRD#: 122692Ozark, MO 65721TRUST BUT VERIFY
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