Anthony J. Pacheco
Professional summary
Anthony J Pacheco, who also goes by Anthony James Pacheco, Tony Pacheco, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 2009. Anthony has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony J Pacheco's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 16, 2023 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112February 26, 2020 - May 19, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 13, 2018 - May 18, 2021
FIDELITY BROKERAGE SERVICES LLC
October 23, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 18, 2009 - March 8, 2018
SCOTTRADE, 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
Exams
Series 7TO
Date: 8/14/2023
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 |
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