Thomas H. Roberts

AXOS CLEARING LLC

Centennial, CO 80112

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CRD#: 4797899

Professional summary

Thomas H Roberts, who also goes by Thomas Hunt Roberts, Thomas Roberts, Tom Roberts, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2018. Thomas has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Hunt Roberts | Thomas Roberts | Tom Roberts

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.

DEC 2017; ROBERTS REAL ESTATE & INVESTMENTS, LLC, ARGYLE, TX; NON-INVESTMENT RELATED; OWNER; OVERSEE RENTAL PROPERTY; DEVOTE 2 HRS/MONTH DURING NON-MARKET HOURS. JAN 2021; WEALTHCARE CAPITAL MANAGEMENT LLC, RICHMOND, VA; INVESTMENT RELATED; RIA; FINANCIAL ADVISOR; FINANCIAL PLANNING; DEVOTE 80 HRS/MONTH DURING MARKET HOURS. FEB 2022: WEALTHCARE ADVISORY PARTNERS LLC, ARGYLE, TX; INVESTMENT RELATED; RIA; FINANCIAL ADVISOR; FINANCIAL PLANNING; DEVOTE 80 HRS/MONTH DURING MARKET HOURS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas H Roberts'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

August 14, 2023 - Present

AXOS CLEARING LLC

Office #1: 7103 S Revere Parkway, Centennial, CO 80112

CRD#: 117176

Centennial, CO

Past

February 15, 2023 - June 30, 2023

WEALTHCARE ADVISORY PARTNERS LLC

RIA

CRD#: 171976

Argyle, TX

Past

January 19, 2023 - June 9, 2023

M. S. HOWELLS & CO.

CRD#: 104100

SCOTTSDALE, AZ

Past

August 10, 2022 - March 1, 2023

WEALTHCARE CAPITAL MANAGEMENT LLC

RIA

CRD#: 111119

Argyle, TX

Past

September 28, 2018 - January 26, 2021

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

State Registrations and Notice Filings

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

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

Texas
(8/14/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/11/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/17/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2018

General Securities Representative Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

AXOS CLEARING LLC

CRD#: 117176 / SEC#: , 8-53595

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

15950 West Dodge Road Suite 300, Omaha, NE 68118

Mailing Address

15950 West Dodge Road Suite 300, Omaha, NE 68118

Phone number

(402) 384-6100

Established

Delaware since 01/22/2004

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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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Advisor Monitoring

Firm Stability Insights

Thomas H. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas H Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHCARE ADVISORY PARTNERS LLC

M. S. HOWELLS & CO.

WEALTHCARE CAPITAL MANAGEMENT LLC

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/2020

Series 63

Date: 10/17/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2018

BOX 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

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AXOS CLEARING LLC

TRUST BUT VERIFY

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