Brian M. Fogel
Professional summary
Brian Marc Fogel, who also goes by Brian M Fogel, is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Marc Fogel's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2020 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118November 13, 2020 - November 23, 2022
AXOS INVEST LLC
January 28, 2014 - November 26, 2018
CITY NATIONAL SECURITIES, INC.
January 28, 2014 - November 26, 2018
CITY NATIONAL SECURITIES, INC.
August 6, 2012 - January 23, 2014
MORGAN STANLEY
July 11, 2012 - January 23, 2014
MORGAN STANLEY
June 11, 1998 - July 22, 1998
WORLDCO, L.L.C.
August 5, 1994 - November 19, 1997
NORTHEAST SECURITIES, LLC
March 22, 1994 - July 12, 1994
CITIGROUP GLOBAL MARKETS 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
(11/14/2020)
(11/14/2020)
Exams
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 |
Red Flags
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Company Information
AXOS CLEARING LLC
CRD#: 117176Omaha, NE 68118TRUST BUT VERIFY
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