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JP

Jeffrey K. Plummer

AXOS CLEARING LLC
Omaha, NE 68118
Some features on this profile are disabled
CRD#: 4576783
JP

Professional summary

Jeffrey Kent Plummer, who also goes by Jeff Plummer, is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska and AXOS INVEST LLC located in Omaha, Nebraska.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2003. Jeffrey has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Plummer

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Kent Plummer's CRS (Customer Relationship Summary).
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

April 27, 2023 - Present

AXOS CLEARING LLC

Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118
BD
CRD#: 117176
Omaha, NE
Current

May 12, 2023 - Present

AXOS INVEST LLC

Office #1: 15950 West Dodge Road Ste. 300, Omaha, NE 68118
BD
CRD#: 172393
Omaha, NE
Past

July 6, 2022 - September 23, 2022

ALL OF US SECURITIES LLC

BD
CRD#: 292163
SAN JOSE, CA
Past

January 17, 2022 - May 26, 2022

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

September 20, 2017 - October 4, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
ST. LOUIS, MO
Past

February 23, 2015 - May 26, 2022

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
OMAHA, NE
Past

March 3, 2010 - May 27, 2010

BELLEVUE CHICAGO, LLC

BD
CRD#: 106069
CHICAGO, IL
Past

April 22, 2006 - May 26, 2022

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

May 8, 2003 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
OMAHA, NE

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(4/27/2023)
RR
Colorado
(4/27/2023)
RR
Nebraska
(4/27/2023)
RR
Nevada
(6/2/2023)
RR
New Jersey
(4/27/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/14/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/7/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 12/10/2020
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/23/2004
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/31/2004
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

AI
AXOS INVEST LLC
AXOS INVEST LLC | WISEBANYAN SECURITIES LLC

CRD#: 172393 / SEC#: , 8-69507

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Phone number
(858) 376-6055
Established
Delaware since 06/02/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AXOS SECURITIES, LLCSHAREHOLDER
GALLMAN, TRACY LYNMANAGING PRINCIPAL2814720
TSCHUDIN, DEREK MICHAELCHIEF COMPLIANCE OFFICER4684900
WALSH, DERRICKFINOP/PFO/POO/CFO5945902

Disclosures

Regulatory Event1

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.

Company Information

AXOS INVEST LLC

CRD#: 172393Omaha, NE 68118

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