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BRIAN LESLEY CLARK
BRIAN L CLARK
CRD#: 4802438
IA
B
SAXONY CAPITAL MANAGEMENT, LLCCRD#: 122692 11152 S TOWNE SQUARE
SAINT LOUIS, MO 63123
SAINT LOUIS, MO 63123
PATRICK CAPITAL MARKETS, LLCCRD#: 16518 11152 South Towne Square
St. Louis, MO 63123
St. Louis, MO 63123
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Alabama 12/6/2017
B
Missouri 5/28/2009
B
Alaska 11/1/2018
B
Montana 12/21/2018
B
Arizona 12/20/2017
B
Nebraska 12/12/2018
B
Arkansas 8/13/2018
B
Nevada 10/10/2017
B
California 10/10/2017
B
New Hampshire 8/31/2018
B
Colorado 12/7/2017
B
New Jersey 9/24/2018
B
Connecticut 1/3/2018
B
New Mexico 2/25/2019
B
Delaware 11/15/2019
B
New York 10/12/2017
B
District of Columbia 9/12/2018
B
North Carolina 11/9/2017
B
Florida 10/10/2017
B
North Dakota 12/12/2018
B
Georgia 2/23/2016
B
Ohio 11/18/2010
B
Hawaii 6/5/2019
B
Oklahoma 9/24/2018
B
Idaho 9/13/2018
B
Oregon 10/27/2017
B
Illinois 12/4/2017
B
Pennsylvania 11/1/2018
B
Indiana 3/19/2010
B
Rhode Island 8/7/2018
B
Iowa 5/15/2018
B
South Carolina 7/12/2011
B
Kansas 9/19/2018
B
South Dakota 1/6/2017
B
Kentucky 11/2/2017
B
Tennessee 11/16/2017
B
Louisiana 10/20/2017
B
Texas 7/8/2009
B
Maine 9/7/2018
B
Utah 8/16/2018
B
Maryland 1/11/2012
B
Vermont 8/20/2018
B
Massachusetts 11/27/2018
B
Virginia 12/20/2017
B
Michigan 12/19/2017
B
Washington 9/24/2018
B
Minnesota 10/10/2017
B
West Virginia 2/1/2022
B
Mississippi 1/3/2017
B
Wisconsin 1/3/2017
IA
Missouri 9/18/2007
B
Wyoming 11/27/2018
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
B
Registered with this firm since 4/1/2009
IA
Registered with this firm since 9/18/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/09/2004 - 12/31/2023 | ST. LOUIS, MO | |
B | 01/03/2014 - 06/22/2020 | St. Louis, MO | |
IA | 01/28/2008 - 10/29/2009 | ST. LOUIS, MO | |
B | 12/02/2008 - 12/10/2008 | ST LOUIS, MO |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.