Rachel Mendoza
Professional summary
Rachel Mendoza, who also goes by Rachel Hardwicke, Rachel Alena Mendoza, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Rachel is registered as a RR (Registered Representative) and started their career in finance in 1999. Rachel has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rachel Mendoza's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2024 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112January 3, 2023 - January 16, 2024
SCHWAB WEALTH ADVISORY, INC.
January 4, 2016 - January 24, 2023
CHARLES SCHWAB & CO., INC.
February 20, 2007 - December 31, 2015
CHARLES SCHWAB & CO., INC.
February 20, 2007 - January 16, 2024
CHARLES SCHWAB & CO., INC.
April 19, 2006 - January 25, 2007
JACKSON FINANCIAL MANAGEMENT
June 29, 2005 - January 22, 2007
FSC SECURITIES CORPORATION
March 31, 2000 - June 9, 2005
CHARLES SCHWAB & CO., INC.
August 14, 1999 - November 11, 1999
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/16/2024)
(1/12/2024)
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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