# SAXONY CAPITAL MANAGEMENT, LLC

> FINRA firm 122692 · ACTIVE · **⚠ HAS DISCLOSURE EVENTS** · SAINT LOUIS, MO

## ⚠ Regulatory disclosure flag

FINRA reports regulatory or customer-dispute disclosure events for this firm. The disclosure detail (regulatory actions, arbitrations, customer complaints, criminal events) is on the canonical BrokerCheck page — every advisor / broker-dealer carrying a yes on this flag has at least one reported event.

## Key facts

- **FINRA firm ID:** 122692
- **Firm name:** SAXONY CAPITAL MANAGEMENT, LLC
- **Other names:** 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
- **Investment Adviser scope:** ACTIVE
- **SEC IA file number:** 801-68385
- **Branches:** 36
- **Has disclosure events:** YES
- **Headquarters:** SAINT LOUIS, MO, 63123, United States

## Primary source

FINRA BrokerCheck: https://brokercheck.finra.org/firm/summary/122692

## Citation

> FINRA BrokerCheck, firm 122692 (SAXONY CAPITAL MANAGEMENT, LLC). Retrieved via AI Analytics 2026-06-25 from https://api.ai-analytics.org/broker/122692.

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