Kathy Noel Faucher
Professional Summary
Kathy Noel Faucher, who also goes by Kathy Noel Brocky, Kathy Faucher, is a registered financial advisor currently at AXOS CLEARING LLC located in Omaha, Nebraska and AXOS INVEST LLC located in Omaha, Nebraska. Kathy is registered as a RR (Registered Representative) and started their career in finance in 2014. Kathy has worked at 2 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathy Noel Brocky, Kathy Faucher
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
12 years in the financial services industry
Current & Past Employments
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Current Firm
AXOS INVEST LLC | WISEBANYAN SECURITIES LLC
Contact Information
Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148Mailing Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148Phone Number
(858) 376-6055Established
Delaware since 06/02/2014Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kathy Noel Faucher's CRS (Customer Relationship Summary).
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