SAXONY CAPITAL MANAGEMENT, LLC ⚠ Disclosure events ACTIVE IA

FINRA firm 122692 · SAINT LOUIS, MO · view on BrokerCheck ↗

⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.

Key facts

FINRA firm ID: 122692
Firm name: SAXONY CAPITAL MANAGEMENT, LLC
Other names / DBAs: 9DOT WEALTH; SAXONY SECURITIES, INC.; SAXONY INVESTMENT MANAGEMENT CORP.; SAXONY INSURANCE AGENCY, LLC; SAXONY CAPITAL MANAGEMENT, LLC; SAXONY CAPITAL MANAGEMENT LLC.; SAXONY ADVISORS; IRONHORSE INVESTMENTS & ESTATE PLANNING
IA scope: ACTIVE
SEC IA file: 801-68385
Branches: 36
Disclosure events: YES
HQ: SAINT LOUIS, MO, 63123, United States

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