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Nicholas Michael Romay

Saxony Capital Management, LLC

Saint Louis, MO

St. Louis, MO

CRD 7538680

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Employer firm

Saxony Capital Management, LLC CRD 122692

$368M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Saxony Capital Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2026-01-08
  • MO RA
    APPROVED
    Since 2026-01-08

Branch Locations

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

St. Louis, MO • 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
OrganizationCityStateFromTo
Kirkwood High School Kirkwood MO 08/2015 05/2019
Crushed Red Kirkwood MO 08/2016 08/2021
University Of Missouri-Columbia Columbia MO 08/2019 08/2024
Saxony Securities, Inc St. Louis MO 07/2024 Present
  • 08/2015 → 05/2019
    Kirkwood High School
    Kirkwood, MO
  • 08/2016 → 08/2021
    Crushed Red
    Kirkwood, MO
  • 08/2019 → 08/2024
    University Of Missouri-Columbia
    Columbia, MO
  • 07/2024 → Present
    Saxony Securities, Inc
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-25
  • S66 Uniform Combined State Law Examination
    2025-11-25
Other Names
  • Nick Romay

View on SEC IAPD

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