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FZ

Felix A. Zayas

AXOS INVEST LLC
Omaha, NE 68118
Some features on this profile are disabled
CRD#: 2509423
FZ

Professional summary

Felix Ahmed Zayas is a registered financial professional currently at AXOS INVEST LLC located in Omaha, Nebraska and AXOS CLEARING LLC located in Omaha, Nebraska.

Felix is registered as a RR (Registered Representative) and started their career in finance in 1995. Felix has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

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 Felix Ahmed Zayas'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

May 24, 2024 - Present

AXOS INVEST LLC

Office #1: 15950 West Dodge Road Ste. 300, Omaha, NE 68118
BD
CRD#: 172393
Omaha, NE
Current

May 24, 2024 - Present

AXOS CLEARING LLC

Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118
BD
CRD#: 117176
Omaha, NE
Past

January 23, 2023 - January 11, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Westlake, TX
Past

January 4, 2016 - December 20, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
Westlake, TX
Past

March 19, 2012 - December 20, 2023

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
Westlake, TX
Past

February 9, 2009 - April 7, 2010

ARCHIPELAGO SECURITIES L.L.C.

BD
CRD#: 102500
CHICAGO, IL
Past

May 29, 2002 - July 26, 2010

ARCHIPELAGO TRADING SERVICES, INC.

BD
CRD#: 15853
CHICAGO, IL
Past

March 6, 2000 - October 18, 2001

ARCHIPELAGO TRADING SERVICES, INC.

BD
CRD#: 15853
CHICAGO, IL
Past

September 15, 1999 - February 17, 2000

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

January 4, 1996 - April 1, 1999

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

July 21, 1995 - December 20, 1995

GREAT AMERICAN FINANCIAL NETWORK, INC.

BD
CRD#: 14108
NORCROSS, GA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(5/24/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/26/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/14/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/20/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/2/2003
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/25/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/20/2000
General Securities Sales Supervisor - Options Module 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
Medium
# 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#: 117176Omaha, NE 68118

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