Howard M. Green
Professional summary
Howard Michael Green is a registered financial professional currently at AXOS CLEARING LLC located in Edison, New Jersey.
Howard is registered as a RR (Registered Representative) and started their career in finance in 1995. Howard has worked at 21 firms and has passed the Series 63, Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Howard Michael Green's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 5, 2023 - Present
AXOS CLEARING LLC
Office #1: 110 Fieldcrest Ave 4th Floor, Edison, NJ 08837April 25, 2019 - December 31, 2019
G.RESEARCH, LLC
March 26, 2019 - April 21, 2023
G.DISTRIBUTORS, LLC
September 19, 2017 - July 19, 2018
SUNRISE BROKERS LLC
September 19, 2017 - July 19, 2018
MINT BROKERS
September 19, 2017 - July 19, 2018
FMX EXECUTION, LLC
September 19, 2017 - July 19, 2018
GFI SECURITIES LLC
September 19, 2017 - July 19, 2018
CFWP SECURITIES, LLC
September 19, 2017 - July 19, 2018
CF SECURED, LLC
September 19, 2017 - July 19, 2018
CASTLEOAK SECURITIES, LP
September 19, 2017 - July 19, 2018
CANTOR FITZGERALD & CO.
September 19, 2017 - July 19, 2018
BGC FINANCIAL, L.P.
September 19, 2017 - July 19, 2018
AQUA SECURITIES L.P.
October 20, 2016 - September 26, 2017
COWEN EXECUTION SERVICES LLC
April 18, 2012 - October 11, 2016
CANACCORD GENUITY LLC
May 2, 2011 - November 28, 2012
CANACCORD GENUITY SECURITIES LLC
October 30, 2003 - October 3, 2005
FEF DISTRIBUTORS, LLC
October 29, 2003 - May 4, 2011
NATIXIS SECURITIES AMERICAS LLC
September 10, 2002 - October 28, 2003
FEF DISTRIBUTORS, LLC
May 5, 2000 - October 28, 2003
NATIXIS SECURITIES AMERICAS LLC
April 30, 1996 - April 28, 2000
COMMERZBANK CAPITAL MARKETS CORP.
November 8, 1995 - March 22, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 1995 - January 29, 1996
SMITH NEW COURT, 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
(5/5/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX 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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