Kathy N. Faucher
Professional summary
Kathy Noel Faucher, who also goes by Kathy Noel Brocky, Kathy Faucher, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathy Noel Faucher's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2014 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118April 17, 2023 - Present
AXOS INVEST LLC
Office #1: 15950 West Dodge Road Ste. 300, Omaha, NE 68118State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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 INVEST LLC
CRD#: 172393 / SEC#: , 8-69507
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
AXOS INVEST LLC
CRD#: 172393Omaha, NE 68118TRUST BUT VERIFY
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