Dean E. Loveridge
Professional summary
Dean Elwood Loveridge is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska.
Dean is registered as a RR (Registered Representative) and started their career in finance in 1987. Dean has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dean Elwood Loveridge's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 31, 2020 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118March 3, 2016 - July 8, 2020
TD AMERITRADE, INC.
March 2, 2016 - July 8, 2020
TD AMERITRADE, INC.
February 27, 2012 - January 22, 2016
STRATEGIC ADVISERS LLC
July 6, 2011 - January 8, 2016
FIDELITY BROKERAGE SERVICES LLC
August 25, 1987 - August 27, 2009
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/31/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 11/5/1992
General Securities Sales Supervisor Examination (Options Module & General Module)BOX Exchange LLC
Cboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current 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 |
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Company Information
AXOS CLEARING LLC
CRD#: 117176Omaha, NE 68118TRUST BUT VERIFY
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