SK
Shawn R. Kinsella
AXOS CLEARING LLC
Omaha, NE 68118
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CRD#: 5793966
SK
Professional summary
Shawn Robert Kinsella is a registered financial professional currently at AXOS CLEARING LLC located in Omaha, Nebraska.
Shawn is registered as a RR (Registered Representative) and started their career in finance in 2012. Shawn has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
***CLEAR MIND THERAPY POSITION: Bookkeeper NATURE: Bookkeeper INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 2 START DATE: 11/30/2018 ADDRESS: 35 Main Place, Council Bluffs IA 51503 DESCRIPTION: Provide bookkeeping services for my spouse's therapy business. Document debits/credits. ***SECURITIES AMERICA ADVISORS POSITION: Advisory license NATURE: SECURITIES AMERICA ADVISORS - INVESTMENT ADVISORY - IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2014 ADDRESS: 12325 Port Grace Blvd, La Vista NE 68128 DESCRIPTION: Do not actively use the OBA for investment purposes. SAA advisory license.
CRS (Client Relationship Summary) - BD
Click below to view Shawn Robert Kinsella's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 11, 2022 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118BD
CRD#: 117176
Omaha, NE
Past
December 18, 2020 - March 28, 2022
OSAIC SERVICES, INC.
RIA
CRD#: 133763
PHOENIX, AZ
Past
October 8, 2020 - March 28, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
October 8, 2020 - March 28, 2022
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
October 8, 2020 - March 28, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 8, 2020 - March 28, 2022
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
November 3, 2014 - March 28, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
La Vista, NE
Past
February 8, 2012 - March 28, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Omaha, NE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(4/11/2022)
RR
Nebraska(4/11/2022)
RR
Texas(6/7/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 12/21/2022
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
AC
AXOS CLEARING LLC
AXOS ADVISOR SERVICES | LEGENT CLEARING LLC | LEGENT CLEARING CORP. | LEGENT CLEARING | KP CLEARING, INC. | COR CLEARING LLC | AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
15950 West Dodge Road Suite 300, Omaha, NE 68118
Mailing Address
15950 West Dodge Road Suite 300, Omaha, NE 68118
Phone number
(402) 384-6100
Established
Delaware since 01/22/2004
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
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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