Johnathan Z. Britton

AXIS FINANCIAL

ODON, IN 47562

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CRD#: 4347450

Professional summary

Johnathan Zackary Britton is a registered financial advisor currently at AXIS FINANCIAL, LLC located in Odon, Indiana.

Johnathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Johnathan has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

THE INSURANCE SHOP; SELL LIFE, HEALTH, LONG TERM CARE, PROPERTY & CASUALTY INSURANCE; TIME DEVOTED WILL BE SPLIT EVENLY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johnathan Zackary Britton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 4, 2006 - Present

AXIS FINANCIAL, LLC

Office #1: 204 West Main Street, Odon, IN 47562

RIA

CRD#: 137720

ODON, IN

Past

March 13, 2003 - December 31, 2005

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

ODON, IN

Past

March 10, 2003 - December 31, 2005

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

October 7, 2002 - February 21, 2003

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

December 6, 2001 - October 10, 2002

ONB INVESTMENT SERVICES, INC.

RIA

CRD#: 31583

TERRE HAUTE, IN

Past

February 16, 2001 - October 10, 2002

ONB INVESTMENT SERVICES, INC.

CRD#: 31583

EVANSVILLE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/4/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/8/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/15/2001

General Securities Representative Examination

Current Firm

AXIS FINANCIAL, LLC

CRD#: 137720 / SEC#:

Indiana

Registered Investment Advisory firm - (1/4/2006 Approved)

Texas

Registered Investment Advisory firm - (11/16/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

204 West Main Street, Odon, IN 47562

Mailing Address

Phone number

(812) 636-2222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	65
AUM (Assets Under Management)	$ 7,710,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Johnathan Z. Britton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johnathan Zackary Britton's CRS (Customer Relationship Summary).

Certified licenses

Experience

AXIS FINANCIAL, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

ONB INVESTMENT SERVICES, INC.

ONB INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/8/2001

Series 7

Date: 2/15/2001

Current Firm

AXIS FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AXIS FINANCIAL, LLC

TRUST BUT VERIFY

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