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KW

Kristina A. Wagner

AXOS CLEARING LLC
Omaha, NE 68118
Some features on this profile are disabled
CRD#: 2855667
KW

Professional summary

Kristina Anne Wagner, who also goes by Kristina Anne Menzel, Kris Wagner, is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska and AXOS INVEST LLC located in Las Vegas, Nevada.

Kristina is registered as a RR (Registered Representative) and started their career in finance in 1998. Kristina has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristina Anne Menzel | Kris Wagner

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 Kristina Anne Wagner'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

October 28, 2019 - Present

AXOS CLEARING LLC

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

May 27, 2025 - Present

AXOS INVEST LLC

Office #1: 9205 W Russell Road Suite 400, Las Vegas, NV 89148
BD
CRD#: 172393
Las Vegas, NV
Past

August 12, 2006 - October 25, 2019

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
OMAHA, NE
Past

September 1, 2005 - August 12, 2006

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
URBANDALE, IA
Past

July 22, 1999 - July 29, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

October 15, 1998 - June 22, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
Nebraska
(10/28/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/31/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/1998
General Securities Representative 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

AI
AXOS INVEST LLC
AXOS INVEST LLC | WISEBANYAN SECURITIES LLC

CRD#: 172393 / SEC#: , 8-69507

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Phone number
(858) 376-6055
Established
Delaware since 06/02/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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, LLCSHAREHOLDER
GALLMAN, TRACY LYNMANAGING PRINCIPAL2814720
TSCHUDIN, DEREK MICHAELCHIEF COMPLIANCE OFFICER4684900
WALSH, DERRICKFINOP/PFO/POO/CFO5945902

Disclosures

Regulatory Event1

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 INVEST LLC

CRD#: 172393Omaha, NE 68118

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