Douglas E. Carroll
Professional summary
Douglas Edward Carroll, who also goes by Douglas Edward Carroll, is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2008. Douglas has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Edward Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 24, 2023 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118April 7, 2021 - January 28, 2022
STRATOS WEALTH ADVISORS LLC
March 8, 2016 - March 26, 2021
SECURITIES AMERICA ADVISORS, INC.
March 8, 2016 - March 26, 2021
SECURITIES AMERICA, INC.
May 22, 2008 - May 12, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 22, 2008 - February 16, 2016
TD AMERITRADE, INC.
May 5, 2008 - February 16, 2016
TD AMERITRADE, 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
(2/24/2023)
Exams
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
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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