Mark Pagliuca
Professional summary
Mark Pagliuca, who also goes by Mark Andrew Pagliuca, is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Pagliuca's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2020 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118March 26, 2010 - December 3, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
April 6, 2009 - March 3, 2010
TD AMERITRADE, INC.
February 1, 2007 - November 20, 2008
ORION PORTFOLIO SOLUTIONS, LLC
January 30, 2007 - November 20, 2008
NORTHERN LIGHTS DISTRIBUTORS, LLC
July 26, 2004 - December 31, 2006
ORION PORTFOLIO SOLUTIONS, LLC
October 7, 2003 - December 31, 2006
NORTHERN LIGHTS DISTRIBUTORS, LLC
October 17, 2001 - November 13, 2003
ORBITEX FUNDS DISTRIBUTOR, INC.
March 19, 1999 - September 17, 2001
DEAM INVESTOR SERVICES, 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
(1/14/2020)
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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Company Information
AXOS CLEARING LLC
CRD#: 117176Omaha, NE 68118TRUST BUT VERIFY
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