Kevin R. Kiefer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Robert Kiefer, who also goes by Kevin Robert Keifer, Kevin Robert Kiefer, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2006. Kevin had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2022 - June 16, 2025
AXOS CLEARING LLC
April 22, 2021 - July 27, 2022
CHARLES SCHWAB & CO., INC.
July 24, 2012 - January 6, 2021
TD AMERITRADE, INC.
July 19, 2012 - January 6, 2021
TD AMERITRADE, INC.
October 7, 2010 - October 26, 2011
EAGLE STRATEGIES LLC
October 18, 2006 - October 7, 2010
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
October 18, 2006 - October 26, 2011
NYLIFE DISTRIBUTORS LLC
February 2, 2006 - March 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2006 - March 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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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Check for any disclosures as part of your thorough research when choosing an advisor.
