Nicholas G. Combs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nicholas G Combs, who also goes by Nicholas Goodlow Combs, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2014. Nicholas had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2021 - June 26, 2023
AXOS CLEARING LLC
January 16, 2018 - April 20, 2021
TD AMERITRADE, INC.
January 16, 2018 - April 20, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 16, 2018 - April 20, 2021
TD AMERITRADE, INC.
October 13, 2015 - May 25, 2016
TD AMERITRADE, INC.
October 13, 2015 - May 25, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 8, 2014 - May 25, 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
Exams
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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