Paul W. Yeh
Professional summary
Paul Way Yeh, who also goes by Paul Way Yeh, Way Paul Yeh, Way Yeh, Paul Yeh, is a registered financial professional currently at AXOS INVEST LLC located in San Diego, California and AXOS CLEARING LLC located in Omaha, Nebraska.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2012. Paul has worked at 6 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Way Yeh's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2024 - Present
AXOS INVEST LLC
Office #1: 4350 La Jolla Village Drive, San Diego, CA 92122June 28, 2024 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118September 26, 2017 - April 21, 2020
CETERA INVESTMENT SERVICES LLC
April 28, 2017 - April 21, 2020
CETERA WEALTH SERVICES, LLC
April 28, 2017 - April 21, 2020
FIRST ALLIED SECURITIES, INC.
April 28, 2017 - April 21, 2020
CETERA WEALTH SERVICES, LLC
August 15, 2013 - April 26, 2017
LPL FINANCIAL LLC
December 14, 2012 - April 26, 2017
LPL FINANCIAL 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
(10/24/2024)
Exams
Series 7TO
Date: 7/12/2022
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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