Saxony Securities, Inc.

Who is Saxony?

Saxony Securities, Inc. (“Saxony”), member FINRA/SIPC, is an independent, privately owned broker dealer headquartered in St. Louis, Missouri with independent financial advisors nationwide. In addition to Saxony’s broker dealer platform we also offer an investment advisor platform through our affiliate, Saxony Capital Management, LLC. Together these platforms provide comprehensive services, innovative technology and competitive programs to its independent financial advisor network.

Capitalize on your Independence

Saxony financial advisors enjoy the independence of offering objective, conflict-free investment advice to their clients. At Saxony, we believe that this unbiased financial guidance is a fundamental need that should be afforded to every financial advisor. Saxony stands ready to offer its advisors support, technology and customized business solutions. We believe that this support is necessary for creating a financial foundation that is instrumental in turning their client’s life aspirations into financial realities.

Our Culture Values System

For more than a decade, Saxony has firmly stood behind its core values and mission statement. These emphasize that success is built upon the highest standards of integrity and professionalism while providing a truly unique level of service to our client, the independent financial advisor. By remaining steadfast to that statement and truly living our values, Saxony has evolved into a highly respected and specialized firm that offers a full spectrum of products and services to its financial advisors.

Our Unique Vision

Saxony is a unique broker dealer: we are an independent, privately owned firm that has built a comprehensive model while still offering autonomy. Saxony’s founders are experienced investment professionals that established our broker dealer to create an objective, transparent and independent platform where financial advisors could service their clients.

Financial advisors and their clients do not want to be just another number. Saxony was established to address the systematic problem that has troubled financial advisors and their clients for many years; large, vertically structured brokerage firms that claim to be “main street” oriented. When in reality, they tend to be manufacturers and distributors of specific financial products and platforms that cater to their bottom line.

At Saxony we are striving to reform this problem by getting back to business on a personal and individual level. When our independent financial advisors or their clients call Saxony’s home office, they are not forwarded to a long list of menu options. They speak with a live receptionist who is able to direct them to one of our staff members. Our staff is cross trained to assist you right away instead of being transferred from department to department in order get the right answer.

• Our compliance team is proactive and thorough, to help our financial advisors navigate and understand their regulatory requirements. Each of our independent financial advisors is assigned a compliance field supervisor that is able to assist them quickly and efficiently.
• Saxony’s operations team consists of staff that is dedicated not only to proficient new account opening, transfers, and asset movement, but to provide a high level of service to those clients once they are here.
• Our trading desk consists of industry veterans who are able to effectively assist you with bond, equity, option, and mutual fund coordination.
• Our transition and business development team works with financial advisors who join our firm on a one-on-one basis. Transitioning of the business that our financial advisors have built is one of the singularly most important factors that Saxony focuses on. Your transition specialist is your point person for ensuring that all items are addressed and continuously followed up on.
• Saxony’s technical support department stands ready to assist you with whatever technology challenges come your way. By employing our own technical support team and not outsourcing this function we are able to provide turn-key solutions to your technology needs.

Saxony was founded on one simple belief:

Provide exceptional investment management services for advisors and their clients

Strategic affiliates

Saxony Capital Management, LLC

Asset Management Account

The Asset Management Account is an advisory program offered by our affiliate Saxony Capital Management, LLC, an SEC registered investment advisor. Through the Asset Management Account, an advisor representative may manage their client’s assets on a discretionary basis. The clients’ will have a choice of two options to pay transactions costs. The first is an inclusive fee that covers ticket charges with no confirmation fee. The second option is that the client would pay a flat charge per transaction with a confirmation fee.

Registration Qualifications for advisor representatives to use the Asset Management Account: Series 65/66

Saxony Insurance Agency, LLC

Full Spectrum Insurance Division of Saxony

Insurance products can assist your clients with the dealing of unexpected needs. We believe insurance products can play an important role in our client’s investment portfolios and as part of their comprehensive financial plan. The Saxony Insurance Agency has become a valuable strategic partner to our investment professionals and their clients by providing quality insurance products and a wide array of providers.

Some of the insurance products offered through Saxony Insurance Agency, LLC are as follows:

• Life Insurance
• Long-Term Disability
• Long-Term care
• Annuity Products

Our staff has the experience and expertise to handle the frontline support, guide the advisor through the different policies and assist in all the paperwork.

Address: 11152 South Towne Square, St. Louis, MO 63123, USA

Phone: +1 314 963 9336