Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Edward Griffard is an investment advisor representative at Saxony Capital Management, LLC. Richard has been in the industry since 1994 and has a wide range of experience in the financial services industry. Richard has held principal licenses for various security products, including Series 24, Series 26, Series 39, Series 53 and Series 14. He also holds Series 7, Series 63 and SIE licenses. He has been registered with Saxony Capital Management, LLC since January 30, 2014. Prior to that, Richard worked at Patrick Capital Markets, LLC, Pinnacle Equity Management, LLC, Patrick Financial Corporation, Eisner Securities, Inc., Clearing Services of America, Inc., Dickinson & Co., and Montano Securities Corporation. Richard specializes in providing financial planning, portfolio management, and investment advisory services to individuals, high-net-worth individuals, corporations, and charitable organizations.
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
01/30/2014 - Present
Saxony Capital Management, LLC (SAINT LOUIS MO)
MO
09/30/2010 - 12/31/2023
PATRICK CAPITAL MARKETS, LLC (St. Louis MO)
MO
04/12/2016 - 12/21/2018
PINNACLE EQUITY MANAGEMENT, LLC (St. Louis MO)
MO
12/02/2008 - 12/10/2008
PATRICK FINANCIAL CORPORATION (ST LOUIS MO)
MO
10/25/1996 - 10/01/2001
EISNER SECURITIES, INC. (ST. LOUIS MO)
MO
01/31/1995 - 10/16/1996
CLEARING SERVICES OF AMERICA, INC. (ST. LOUIS MO)
IA
01/06/1995 - 01/30/1995
DICKINSON & CO. (DES MOINES IA)
CA
06/07/1994 - 01/15/1995
MONTANO SECURITIES CORPORATION (ORANGE CA)
BC
Issued 04/11/1994
Series 63 - Uniform Securities Agent State 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 02/21/2002
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/01/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative 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 06/06/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Richard Griffard is the right advisor for you? Invested Better is here to help.
