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AV

Alex G. Vassilowitch

AXOS CLEARING LLC
Edison, NJ 08837
Some features on this profile are disabled
CRD#: 4621496
AV

Professional summary

Alex Gregory Vassilowitch is a registered financial professional currently at AXOS CLEARING LLC located in Edison, New Jersey and AXOS INVEST LLC located in Omaha, Nebraska.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2003. Alex has worked at 7 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alex Gregory Vassilowitch'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

January 2, 2014 - Present

AXOS CLEARING LLC

Office #1: 110 Fieldcrest Ave 4th Floor, Edison, NJ 08837
BD
CRD#: 117176
Edison, NJ
Current

November 20, 2024 - Present

AXOS INVEST LLC

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

October 3, 2013 - January 9, 2014

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
ISELIN, NJ
Past

September 10, 2012 - March 4, 2013

SODALITE FINANCIAL SERVICES, LLC

BD
CRD#: 136668
NEW YORK, NY
Past

December 9, 2010 - March 12, 2013

HOLD BROTHERS CAPITAL LLC

BD
CRD#: 151864
NEW YORK, NY
Past

July 19, 2010 - November 28, 2012

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

November 18, 2003 - December 18, 2009

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY

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
Nebraska
(1/2/2014)
RR
New Jersey
(1/2/2014)
RR
New York
(1/2/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 2/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/27/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 4/8/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/17/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/27/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/20/2010
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/20/2010
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#: 172393Edison, NJ 08837

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