Stephanie M. Skradski
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephanie Marie Skradski, who also goes by Stephanie M Finazzo, Stephanie Marie Finazzo, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2000. Stephanie had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2021 - November 24, 2021
AXOS CLEARING LLC
May 11, 2021 - October 13, 2021
CHARLES SCHWAB & CO., INC.
April 22, 2006 - October 13, 2021
TD AMERITRADE, INC.
February 11, 2004 - April 22, 2006
TD AMERITRADE CLEARING, INC.
October 30, 2002 - February 19, 2004
QA3 FINANCIAL CORP.
August 3, 2001 - July 2, 2002
FSC SECURITIES CORPORATION
July 7, 2000 - January 23, 2001
J.P. SECURITIES, 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
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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