Jennifer J. Stringer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jennifer J Stringer, who also goes by Jennifer Joy Harvey, Jennifer Harvey, Jennifer Joy Stringer, was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1988. Jennifer had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2021 - October 18, 2024
AXOS CLEARING LLC
June 14, 2012 - February 2, 2021
APEX CLEARING CORPORATION
March 9, 2010 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
March 4, 2009 - March 3, 2010
TD AMERITRADE CLEARING, INC.
April 22, 2006 - March 4, 2009
TD AMERITRADE, INC.
June 27, 2001 - April 22, 2006
TD AMERITRADE CLEARING, INC.
January 20, 1988 - April 13, 2000
NF CLEARING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
