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SB

Sebastian J. Burtone

AXOS CLEARING LLC
Edison, NJ 08837
Some features on this profile are disabled
CRD#: 1859569
SB

Professional summary

Sebastian Joseph Burtone is a registered financial professional currently at AXOS CLEARING LLC located in Edison, New Jersey.

Sebastian is registered as a RR (Registered Representative) and started their career in finance in 2006. Sebastian has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sebastian Joseph Burtone's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 9, 2025 - Present

AXOS CLEARING LLC

Office #1: 110 Fieldcrest Ave 4th Floor, Edison, NJ 08837
BD
CRD#: 117176
Edison, NJ
Past

September 13, 2019 - February 16, 2022

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

October 12, 2016 - March 23, 2017

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

June 2, 2015 - December 8, 2015

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
HOLBROOK, NY
Past

April 7, 2014 - May 27, 2015

CONTINUITY PARTNERS GROUP, LLC

BD
CRD#: 151381
FAIRFIELD, IA
Past

January 3, 2011 - July 18, 2013

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
NEW YORK CITY, NY
Past

February 24, 2006 - November 23, 2010

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/25/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/23/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2006
General Securities Representative Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

AC
AXOS CLEARING LLC
AXOS ADVISOR SERVICES | LEGENT CLEARING LLC | LEGENT CLEARING CORP. | LEGENT CLEARING | KP CLEARING, INC. | COR CLEARING LLC | AXOS CLEARING LLC

CRD#: 117176 / SEC#: , 8-53595

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
15950 West Dodge Road Suite 300, Omaha, NE 68118
Mailing Address
15950 West Dodge Road Suite 300, Omaha, NE 68118
Phone number
(402) 384-6100
Established
Delaware since 01/22/2004
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AXOS SECURITIES, LLCSOLE OWNER
CROW, DAVID MICHAELPRESIDENT, AXOS CLEARING, LLC4370102
FAUCHER, KATHY NOELAML OFFICER6323326
GREEN, HOWARD MICHAELCHIEF FINANCIAL OFFICER2535812
KINSELLA, SHAWN ROBERTCHIEF COMPLIANCE OFFICER5793966
PLUMMER, JEFFREY KENTPRINCIPAL OPERATIONS OFFICER4576783
SHIRMANG, STEPHEN LOWELLCHIEF OPERATIONS OFFICER3083416

Disclosures

Regulatory Event13

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.

Company Information

AXOS CLEARING LLC

CRD#: 117176Edison, NJ 08837

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