Unclaimed Profile

Mark Stephen Thompson

SAXONY CAPITAL MANAGEMENT LLC.·SAINT LOUIS, Missouri

SIE, Series 4, Series 6, Series 7, Series 9, Series 10, Series 14, Series 24, Series 26, Series 39, Series 52TO, Series 53, Series 63, Series 65, Series 79TO, Series 82TO, Series 99TOClean record22 years registeredSAXONY CAPITAL MANAGEMENT LLC.

11152 S TOWNE SQUARE, SAINT LOUIS, MO 63123CRD# 2975026Firm CRD# 122692

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Stephen Thompson · SAINT LOUIS, MO

Registration

CRD #2975026 · SAXONY CAPITAL MANAGEMENT LLC. · 22 years registered

Brand Profile

Not yet started

Career History

SAXONY CAPITAL MANAGEMENT, LLC

Apr 2004 – present

SAXONY SECURITIES, INC.

Sep 2003 – present

PINNACLE EQUITY MANAGEMENT INC

Apr 2015 – Nov 2015

ST. LOUIS, MO

RUDIS CAPITAL MANAGEMENT, INC.

Jan 2014 – Nov 2014

ST. LOUIS, MO

CORNERSTONE SELECT ADVISORS, LLC

Jun 2007 – Oct 2009

ST. LOUIS, MO

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 6

Series 7

Series 9

Series 10

Series 14

Series 24

Series 26

Series 39

Series 52TO

Series 53

Series 63

Series 65

Series 79TO

Series 82TO

Series 99TO

Registration record

First registered · September 22, 2003

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SAXONY CAPITAL MANAGEMENT LLC.

CRD 122692 · SEC 801-68385

AUM

$239M

Regulatory assets under management

Employees

1,192 client accounts

Services offered by SAXONY CAPITAL MANAGEMENT LLC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SAXONY CAPITAL MANAGEMENT LLC. →

Introduction

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Frequently Asked Questions

What services does Mark Stephen Thompson offer?

Mark Stephen Thompson specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SAINT LOUIS, Missouri for a consultation.

What are Mark Stephen Thompson's credentials?

Mark Stephen Thompson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mark Stephen Thompson located?

Mark Stephen Thompson is based in SAINT LOUIS, Missouri, working with SAXONY CAPITAL MANAGEMENT LLC.. Their office serves clients in the SAINT LOUIS metropolitan area and surrounding communities.

How does Mark Stephen Thompson charge for services?

Mark Stephen Thompson's firm is compensated through percentage of aum, hourly charges, subscription fees, other: consulting fees to ria's, finders fees, fees third party manager. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SAXONY CAPITAL MANAGEMENT LLC.?

SAXONY CAPITAL MANAGEMENT LLC. has approximately 6 employees and manages $239M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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