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11152 S Towne Square, Saint Louis, MO 63123 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2025-01-02 |
Branch Locations
11152 S Towne Square, Saint Louis, MO 63123 • United States
Hebron, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Preferred Capital Securities, Llc | Atlanta | GA | 12/2015 | 01/2017 |
| Money Concepts Capital Corp. | Palm Beach Gardens | FL | 09/2017 | 07/2020 |
| Consultant | Hartford | CT | 02/2017 | 07/2017 |
| Patrick Capital Markets | St. Louis | MO | 07/2020 | Present |
| Saxony Capital Management | St. Louis | MO | 05/2022 | Present |
1) Alternative Wealth Management, LLC, DBA for securities-related business. 2) AWM Capital Markets LLC; Investment-Related; 75 Joel Dr., Hebron, CT 06248; sponsor of Private Placement Offerings; managing director; started 4/8/21; 80 hrs/mo during trading hours; duties include Fund Management 3) AWM Holdings, LLC; Investment-Related; 75 Joel Drive., Hebron, CT 06248; Holding company for entities organized for securities business; managing director; started 5/11/2021; 1 hr/month during trading hours; oversee business operations. 4) Alternative Tax Management, LLC; Non-investment related; 75 Joel Drive, Hebron, CT 06248; Tax Preparation/accounting; managing director; started 9/1/2022; 40 hrs/month during trading hours; manage the platform. 5) AWM Clean Energy Fund, LLC; investment-related; 75 Joel Drive, Hebron, CT 06248; Private Placement Fund; Fund Manager; started 9/21/2022; 40 hrs/mo during trading hrs; duties include manage day-to-day Operations of the fund.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2010-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 1993-04-08 |
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