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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Stephen Thompson is a registered Investment Advisor Representative with Saxony Capital Management, LLC. Mark has been in the financial services industry since 1997. Mark has a broad range of experience in the financial industry, including working as a Registered Representative with Patrick Capital Markets, LLC. He holds several industry licenses, including Series 6, 7, 9, 10, 14, 24, 26, 39, 53, 63, 65, 79TO, 82TO, 99TO, and SIE. Mark Stephen Thompson specializes in providing financial planning and investment advice to individuals, families, and businesses. Mark is also an ordained minister and performs wedding services outside of business hours.
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
01/02/2025 - Present
Saxony Capital Management, LLC (SAINT LOUIS MO)
MO
04/26/2012 - 12/31/2018
PATRICK CAPITAL MARKETS, LLC (ST LOUIS MO)
OH
02/05/2002 - 09/05/2002
L.M. KOHN & COMPANY (CINCINNATI OH)
IN
03/20/2000 - 09/21/2000
UNIFIED MANAGEMENT CORPORATION (INDIANAPOLIS IN)
CT
11/25/1997 - 07/23/1998
AETNA INVESTMENT SERVICES, INC. (WINDSOR CT)
IA
Issued 06/09/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module 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 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/21/2015
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/03/2004
Series 4 - Registered Options Principal Examination
BC
Issued 04/20/2004
Series 24 - General Securities Principal 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 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2003
Series 7 - General Securities Representative Examination
BC
Issued 11/24/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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