Derrick Walsh

AXOS INVEST LLC

San Diego, CA 92122

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CRD#: 5945902

Professional summary

Derrick Walsh is a registered financial professional currently at AXOS INVEST LLC located in San Diego, California and AXOS CLEARING LLC located in Omaha, Nebraska.

Derrick is registered as a RR (Registered Representative) and started their career in finance in 2012. Derrick has worked at 3 firms and has passed the Series 66, SIE, Series 99TO, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derrick Walsh's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 1, 2019 - Present

AXOS INVEST LLC

Office #1: 4350 La Jolla Village Drive, San Diego, CA 92122

CRD#: 172393

San Diego, CA

Current

February 4, 2022 - Present

AXOS CLEARING LLC

Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118

CRD#: 117176

Omaha, NE

Past

June 11, 2013 - July 16, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

August 16, 2012 - July 16, 2013

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/24/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7

Date: 4/2/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 4/1/2019

Financial and Operations Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

AXOS CLEARING LLC

CRD#: 117176 / SEC#: , 8-53595

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Derrick Walsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Derrick Walsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

AXOS CLEARING LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/24/2013

SIE

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 7

Date: 4/2/2013

Series 27

Date: 4/1/2019

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

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AXOS CLEARING LLC

TRUST BUT VERIFY

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