Mark Stephen Thompson

Current Employers

Saxony Capital Management, Llc

11152 S Towne Square, Saint Louis, MO 63123 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-01-02
FL	RA	APPROVED	2007-05-30
NJ	RA	APPROVED	2007-02-08
MO	RA	APPROVED	2004-04-16

TX RA
APPROVED

Since 2025-01-02
FL RA
APPROVED

Since 2007-05-30
NJ RA
APPROVED

Since 2007-02-08
MO RA
APPROVED

Since 2004-04-16

Branch Locations

St. Louis, MO • United States

11152 S Towne Square, Saint Louis, MO 63123 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Saxony Securities	Saint Louis	MO	06/2003	Present
Saxony Capital Management, Llc	St. Louis	MO	11/2006	Present
Patrick Capital Markets, Llc	St. Louis	MO	04/2012	12/2018

06/2003 → Present

Saxony Securities

Saint Louis, MO
11/2006 → Present

Saxony Capital Management, Llc

St. Louis, MO
04/2012 → 12/2018

Patrick Capital Markets, Llc

St. Louis, MO

Previous Registrations

2015-04-17 → 2015-11-24

Pinnacle Capital Securities, Llc

St. Louis, MO
2014-01-22 → 2014-11-24

Rudis Capital Management, Inc.

St. Louis, MO
2007-06-08 → 2009-10-29

Cornerstone Select Advisors, Llc

St. Louis, MO

St. Louis, MO

Other Businesses

1) ORDAINED MINISTER, NOT INVESTMENT RELATED, 5162 Olde Silver Place, St. Louis, MO 63128. WEDDING SERVICES, MINISTER 9/4/2015, 1 HOUR/MONTH AND NOT DURING TRADING HOURS. DUTIES ARE TO PERFORM WEDDINGS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-06-09
S63	Uniform Securities Agent State Law Examination	2000-06-19

S65 Uniform Investment Adviser Law Examination

2004-06-09
S63 Uniform Securities Agent State Law Examination

2000-06-19

View on SEC IAPD