Joseph E. Flores De Meneses
Professional summary
Joseph Edmund Flores De Meneses JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Joseph had worked at 9 firms, which includes AXOS CLEARING LLC, DIRECT ACCESS PARTNERS LLC, MULTITRADE SECURITIES LLC, GENESIS SECURITIES LLC, LIGHTHOUSE FINANCIAL GROUP LLC, CARLIN EQUITIES LLC, RUMSON CAPITAL LLC, ON-SITE TRADING INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2013 - April 17, 2014
AXOS CLEARING LLC
October 24, 2008 - May 2, 2013
DIRECT ACCESS PARTNERS LLC
January 16, 2008 - October 7, 2008
MULTITRADE SECURITIES LLC
June 9, 2005 - April 18, 2006
GENESIS SECURITIES, LLC
May 30, 2005 - October 8, 2008
LIGHTHOUSE FINANCIAL GROUP, LLC
November 27, 2001 - January 14, 2005
CARLIN EQUITIES, LLC
July 9, 2001 - October 11, 2001
RUMSON CAPITAL, LLC
May 5, 2000 - October 18, 2000
ON-SITE TRADING, INC.
August 1, 1997 - April 3, 1998
PRUDENTIAL EQUITY GROUP, LLC
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 55
Date: 8/7/2001
Limited Representative-Equity Trader ExamCurrent 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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