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Detailed Report
MARK DAVID AIGNER
MARK AIGNER
CRD#: 2645924
IA
Investment Adviser
B
Broker
SAXONY CAPITAL MANAGEMENT, LLCCRD#: 122692 Suttons Bay, MI
SAXONY SECURITIES, INC.CRD#: 115547 SUTTONS BAY, MI
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2013 (5 years)IASAXONY CAPITAL MANAGEMENT, LLC (CRD# 122692)2025 - Present (<1 year)BSAXONY SECURITIES, INC. (CRD# 115547)2013 - Present (11 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 2008 (12 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)1995 - 1996 (<1 year)IASAXONY CAPITAL MANAGEMENT, LLC (CRD# 122692)2013 - 2024 (11 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2008 (5 years)
Disclosure(s)
View By:
4/23/2013
Employment Separation After Allegations
12/7/2007
Customer Dispute
Closed-No Action
4/25/2007
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/16/2021
B
Massachusetts 10/24/2017
B
California 4/21/2015
B
Michigan 6/4/2013
B
Florida 7/31/2013
IA
Michigan 1/6/2025
B
Illinois 6/11/2013
B
New Mexico 8/13/2013
B
Indiana 6/12/2013
B
North Carolina 4/24/2023
B
Kentucky 7/10/2013

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SAXONY CAPITAL MANAGEMENT, LLC (CRD#:122692)
Suttons Bay, MI
Registered with this firm since 1/6/2025
B
SAXONY SECURITIES, INC. (CRD#:115547)
SUTTONS BAY, MI
Registered with this firm since 6/4/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/03/2013 - 12/31/2024 SAXONY CAPITAL MANAGEMENT, LLC (CRD#:122692) SUTTONS BAY, MI
IA
 01/01/2008 - 05/13/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) TRAVERSE CITY, MI
B
 01/01/2008 - 05/13/2013 WELLS FARGO ADVISORS, LLC (CRD#:19616) TRAVERSE CITY, MI
B
 01/21/1996 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LAKE FOREST, IL
IA
 09/11/2002 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) LAKE FOREST, IL
B
 08/16/1995 - 01/23/1996 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.