Daniel T. Broquadio
Professional summary
Daniel Thomas Broquadio, who also goes by Danny Thomas Broquadio, is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Thomas Broquadio's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 28, 2023 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118July 27, 2021 - July 26, 2023
CHARLES SCHWAB & CO., INC.
November 26, 2014 - July 26, 2023
TD AMERITRADE, INC.
January 10, 2011 - November 12, 2014
PRUCO SECURITIES, LLC.
November 17, 2010 - December 8, 2010
EDWARD JONES
August 30, 2010 - December 8, 2010
EDWARD JONES
April 26, 2000 - April 11, 2002
BUYANDHOLD SECURITIES CORPORATION
June 17, 1998 - October 28, 1998
M.S. FARRELL & COMPANY, INC.
October 30, 1997 - July 17, 1998
DUKE & CO., 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
(8/28/2023)
Exams
BOX 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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Company Information
AXOS CLEARING LLC
CRD#: 117176Omaha, NE 68118TRUST BUT VERIFY
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