Brandon Lavallee
Professional summary
Brandon Lavallee, who also goes by Brandon J Lavalle, Brandon James Lavallee, is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska.
Brandon is registered as a RR (Registered Representative) and started their career in finance in 2006. Brandon has worked at 13 firms and has passed the Series 66, Series 99TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brandon Lavallee's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2019 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118May 21, 2019 - September 18, 2019
PACIFIC SELECT DISTRIBUTORS, LLC
December 14, 2017 - May 8, 2019
AXOS CLEARING LLC
July 25, 2016 - May 23, 2017
SECURITIES AMERICA ADVISORS, INC.
July 25, 2016 - May 23, 2017
SECURITIES AMERICA, INC.
June 8, 2016 - July 14, 2016
PRINCIPAL SECURITIES, INC.
June 1, 2016 - July 14, 2016
PRINCIPAL SECURITIES, INC.
January 21, 2014 - October 20, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 17, 2014 - October 20, 2015
TD AMERITRADE, INC.
November 29, 2013 - October 20, 2015
TD AMERITRADE, INC.
September 15, 2011 - September 17, 2013
USAA FINANCIAL ADVISORS, INC.
January 31, 2008 - May 27, 2011
VANGUARD MARKETING CORPORATION
November 20, 2007 - December 19, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 2007 - November 19, 2007
MSI FINANCIAL SERVICES, INC.
July 26, 2007 - November 19, 2007
MSI FINANCIAL SERVICES, INC.
April 2, 2007 - July 17, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - July 17, 2007
MORGAN STANLEY & CO. LLC
October 30, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
June 30, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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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Company Information
AXOS CLEARING LLC
CRD#: 117176Omaha, NE 68118TRUST BUT VERIFY
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