Paul D. Axberg
USA FINANCIAL SECURITIES LLC
Sun City West, AZ 85375
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CRD#: 2768635
Professional summary
Paul Douglas Axberg, CFP®, CIMA® is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Sun City West, Arizona.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Paul has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) AXBERG WEALTH MANAGEMENT, LLC -13613 W CAMINO DEL SOL STE 3, SUN CITY WEST, AZ 85375. START DATE 01/01/2008. OWNER. TAX PREP, TAX PLANNING, INSURANCE SALES LIKE ANNUITIES AND LIFE INSURANCE AND FINANCIAL PLANNING. INVESTMENT RELATED. 15 HOURS DEVOTED TO BUSINESS. 3 HOURS DEVOTED DURING SECURITIES TRADING HOURS. 2) FRICK & A HOLDINGS, LLC - 13613 W. CAMINO DEL SOL SUITE 3, SUN CITY WEST, AZ 85375. START DATE 08/2012. PARTNER, PROPERTY OWNERSHIP MANAGEMENT. NOT INVESTMENT RELATED. 1 HOUR PER MONTH DEVOTED TO BUSINESS, 1 HOUR PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 3) AXBERG AND FRICK CONSULTING GROUP - 13613 W. CAMINO DEL SOL SUITE 3, SUN CITY WEST, AZ 85375. STARTED 10/09/2023. PARTNER. TAX PLANNING, TAX PREPARER AND SUPERVISION. NOT INVESTMENT RELATED.10 HOURS PER MONTH DEVOTED TO BUSINESS. 10 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS. 4) GOOSEHEAD INSURANCE DBA SOOPER YOOPERS MOREAU INSURANCE AGENCY - 706 E BELL RD. SUITE 213, PHOENIX AZ. 85022. START DATE 01/5/2013. OWNER. PROPERTY, CASUALTY INSURANCE, LIFE INSURANCE AND OTHER INSURANCE PRODUCTS. NOT INVESTMENT RELATED. NOT INVESTMENT RELATED. 1 HOUR DEVOTED TO BUSINESS. 1 HOUR DEVOTED DURING SECURITIES TRADING HOURS 5) AXBERG WEALTH MANAGEMENT LLC - 13613 W. CAMINO DEL SOL SUITE 3, SUN CITY WEST, AZ 85375. START DATE 06/01/2024. OWNER. HELP AND PROVIDE ACCESS TO ATTORNEY PREPARED LEGAL DOCUMENTS FOR ESTATE PLANNING LIKE TRUSTS, WILL AND POA. NOT INVESTMENT RELATED. 2 HOURS PER MONTH DEVOTED TO BUSINESS, 2 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Douglas Axberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Douglas Axberg's 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®
CFP®
Start date: 2007
Experience
Current
November 16, 2017 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 13613 W Camino Del Sol Ste 3, Sun City West, AZ 85375Office #2: 9375 E. Shea Blvd., Suite 100, Scottsdale, AZ 85260RIA
BD
CRD#: 103857
Sun City West, AZ
Current
November 16, 2017 - Present
USA FINANCIAL SECURITIES LLC
Office #1: 13613 W Camino Del Sol Ste 3, Sun City West, AZ 85375Office #2: 9375 E. Shea Blvd., Suite 100, Scottsdale, AZ 85260RIA
BD
CRD#: 103857
Sun City West, AZ
Past
May 11, 2007 - November 17, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
SUN CITY WEST, AZ
Past
April 30, 2007 - November 17, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
SUN CITY WEST, AZ
Past
March 20, 2001 - May 1, 2007
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
SUN CITY WEST, AZ
Past
May 26, 2000 - May 1, 2007
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
SUN CITY WEST, AZ
Past
November 10, 1999 - June 19, 2000
WORLD SECURITIES, INC.
BD
CRD#: 39431
JOPLIN, MO
Past
May 13, 1999 - November 9, 1999
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
February 4, 1999 - May 13, 1999
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
September 24, 1996 - February 5, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Alaska(2/1/2018)
RR
Alaska(5/13/2020)
RR
Arizona(11/16/2017)
IAR
Arizona(11/17/2017)
RR
California(11/16/2017)
IAR
California(11/17/2017)
RR
Colorado(11/16/2017)
IAR
Colorado(11/16/2017)
RR
Florida(11/16/2017)
IAR
Florida(11/17/2017)
RR
Hawaii(11/16/2017)
IAR
Hawaii(11/30/2017)
IAR
Idaho(9/12/2024)
RR
Illinois(11/16/2017)
IAR
Illinois(11/16/2017)
RR
Louisiana(3/13/2024)
RR
Michigan(11/16/2017)
IAR
Michigan(1/7/2021)
IAR
Minnesota(11/16/2017)
RR
Minnesota(11/28/2017)
RR
Missouri(11/27/2017)
IAR
Missouri(11/27/2017)
RR
New Hampshire(6/22/2023)
IAR
New Hampshire(6/22/2023)
RR
New Jersey(11/16/2017)
IAR
New Jersey(12/1/2017)
RR
New York(11/16/2017)
IAR
North Carolina(3/7/2022)
RR
North Carolina(7/3/2025)
IAR
Ohio(11/22/2022)
RR
Ohio(11/27/2022)
RR
Oregon(11/16/2017)
IAR
Oregon(11/16/2017)
RR
Pennsylvania(2/1/2018)
IAR
Pennsylvania(5/19/2025)
IAR
South Carolina(9/5/2025)
RR
Tennessee(6/16/2025)
RR
Texas(2/21/2023)
IAR
Texas(11/15/2023)
RR
Virginia(11/16/2017)
IAR
Virginia(11/22/2017)
RR
Washington(11/16/2017)
IAR
Washington(11/16/2017)
RR
Wisconsin(11/16/2017)
IAR
Wisconsin(11/16/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT
CRD#: 103857 / SEC#: 801-68276, 8-52342
RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USA FINANCIAL LLC | OWNER | |
| BACHERT, WILLIAM CLAYTON | CHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR | 4576698 |
| ENDERS, BRENT DAVID | PRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/2004 | 2858719 |
| MCCONNELL, JAMES CARROLL JR | CHIEF OPERATIONS OFFICER | 4679140 |
| MERSMAN, MARK ROBERT | CHIEF MARKETING OFFICER | 4702400 |
| THOMASON, DAWN M | CHIEF COMPLIANCE OFFICER | 5275125 |
| WALTERS, MICHAEL DAVID | CHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/1996 | 2580592 |
Regulatory assets under management
| Total Number of Accounts | 1,750 |
| AUM (Assets Under Management) | $ 301,510,438 |
Disclosures
| Regulatory Event | 4 |
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
USA FINANCIAL SECURITIES LLC
CRD#: 103857Sun City West, AZ 85375TRUST BUT VERIFY
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