Steven J. Nasalroad
Professional summary
Steven James Nasalroad, who also goes by Steve Nasalroad, Steven J Nasalroad, Steven James Nasalroad, Steven J Nazalroad, Steven Nazalroad, Steven Nasalroad, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven James Nasalroad's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 13, 2021 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112July 10, 2020 - December 31, 2020
E*TRADE SECURITIES LLC
May 1, 1997 - March 17, 2005
JANUS HENDERSON DISTRIBUTORS US LLC
May 2, 1994 - September 7, 1995
FORESTERS FINANCIAL SERVICES, 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: 7/10/2020
Operations Professional ExaminationFINRA
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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