Jeffrey S. Wieck
Professional summary
Jeffrey Scott Wieck, who also goes by Jeff Scott Wieck, Jeffrey Wieck, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2001. Jeffrey has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Scott Wieck's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2021 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112February 27, 2020 - December 31, 2020
E*TRADE SECURITIES LLC
August 25, 2017 - April 9, 2018
TCADVISORS NETWORK INC.
May 11, 2007 - March 24, 2016
CURIAN CLEARING, LLC
January 7, 2004 - November 17, 2005
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 16, 2001 - December 31, 2003
NATIONAL PLANNING 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
(8/17/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/1/2015
Limited Representative-Equity Trader ExamBOX 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 |
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