Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Lesley Clark is an investment advisor representative with Saxony Capital Management, LLC, located in SAINT LOUIS, MO. Brian has been in the industry since 2004. Brian is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Brian has passed the Series 3, 7, 14, 24, 26, 28, 39, 63, 65, 79TO, 82TO, 99TO, and SIE exams. Brian is also registered with the state of Missouri as an investment advisor representative. Brian's previous employers include Saxony Securities, Inc., Pinnacle Capital Securities, LLC, and Patrick Financial Corporation. Brian also currently holds positions with Saxony Financial Holdings, LLC, Saxony Holdings, Inc., RECA Group, Inc., MRV Bank Holding Company, and MRV Banks. Brian's specializations include: Financial Planning, Portfolio Management for Businesses, and Portfolio Management for Individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Consulting fees to ria's, finders fees, fees third party manager
1
2
MO
09/18/2007 - Present
Saxony Capital Management, LLC (SAINT LOUIS MO)
MO
09/09/2004 - 12/31/2023
SAXONY SECURITIES, INC. (ST. LOUIS MO)
MO
01/03/2014 - 06/22/2020
PINNACLE CAPITAL SECURITIES, LLC (St. Louis MO)
MO
12/02/2008 - 12/10/2008
PATRICK FINANCIAL CORPORATION (ST LOUIS MO)
BC
Issued 12/04/2007
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/17/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/31/2008
Series 24 - General Securities Principal Examination
BC
Issued 09/08/2004
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2011
Series 3 - National Commodity Futures Examination
BC
Issued 11/27/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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