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CRD#: 115547
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

SAXONY SECURITIES, INC. is located at 11152 S Towne Square, St. Louis, MO 63123 and was first established at Kansas City, Missouri in 07/13/2001. After operating for 24 years, SAXONY SECURITIES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of SAXONY SECURITIES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. SAXONY SECURITIES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SAXONY SECURITIES, INC. are registered to handle securities or provide financial advice. The firm has 3 disclosures, 2 being regulatory events, 0 being client events, and 1 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access SAXONY SECURITIES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at SAXONY SECURITIES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for SAXONY SECURITIES, INC. Comes From

Understanding the Statistics for SAXONY SECURITIES, INC. and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
2
Arbitration
1

FIRM INFORMATION

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Firm Size
Small
Phone Number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm Type
Corporation
Fiscal year end
March
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
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

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Advisor's working at SAXONY SECURITIES, INC.

Kent Scott Skornia

Kent Scott Skornia

IAR
RR
CRD#: 4497076
Location:
St. Louis, MO 63141
Company:
KRILOGY
Disclosures:
Experience:
23 years
View Profile
Phillip K Knight

Phillip K Knight

IAR
RR
CRD#: 4885562
CFP®: Certified Financial Planner
Location:
Midland, TX 79705
Company:
AMERICANA PARTNERS, LLC
Disclosures:
Experience:
21 years
View Profile
MM

M H P Moldawer

M H Palmer Moldawer, Marc Henry Palmer Moldawer, Palmer Moldawer
IAR
RR
CRD#: 1792696
Location:
Houston, TX 77002
Company:
AMERICANA PARTNERS, LLC
Disclosures:
Experience:
37 years
View Profile
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