Julie Dull
Professional summary
Julie Dull, who also goes by Julie Lynn Rothwell, Julie L Rothwell, Julie Rothwell, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Julie is registered as a RR (Registered Representative) and started their career in finance in 2005. Julie has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Julie Dull's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 2, 2021 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112August 6, 2019 - October 12, 2021
FIDELITY BROKERAGE SERVICES LLC
August 21, 2012 - May 31, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
April 18, 2005 - November 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/2/2021)
Exams
Series 7TO
Date: 9/27/2019
General Securities Representative ExaminationBOX 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 |
Red Flags
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