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JJ

Jason P. Johnson

AXOS CLEARING LLC
Omaha, NE 68118
Some features on this profile are disabled
CRD#: 6332063
JJ

Professional summary

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

Jason is registered as a RR (Registered Representative) and started their career in finance in 2014. Jason has worked at 4 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO, SIE and Series 6 exams.

top-8-questions

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.
AXOS BANK, NON INVESTMENT RELATED, 4350 LA JOLLA VILLAGE DRIVE SAN DIEGO, CA 92122, COMMERCIAL BANK, CLIENT RELATIONSHIP MANAGER, 120 HOURS PER MONTH DURING SECURITIES TRADING HOURS, SERVING AS A CLIENT CONTACT AND RELATIONSHIP MANAGER SERVICING DESIGNATED CLIENTS AND THEIR BANKING ACCOUNTS AND PRODUCTS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jason Patrick Johnson'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

March 1, 2023 - Present

AXOS CLEARING LLC

Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118
BD
CRD#: 117176
Omaha, NE
Current

April 17, 2024 - Present

AXOS INVEST LLC

Office #1: 4350 La Jolla Village Drive, San Diego, CA 92122
BD
CRD#: 172393
San Diego, CA
Past

October 11, 2021 - March 1, 2023

AXOS INVEST, INC

RIA
CRD#: 150953
San Diego, CA
Past

August 17, 2021 - March 1, 2023

AXOS INVEST LLC

BD
CRD#: 172393
LAS VEGAS, NV
Past

May 27, 2014 - October 29, 2018

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
SOLANA BEACH, CA

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
California
(3/1/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/27/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/9/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/1/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/17/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/27/2014
Investment Company Products/Variable Contracts Representative Examination
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

AI
AXOS INVEST LLC
AXOS INVEST LLC | WISEBANYAN SECURITIES LLC

CRD#: 172393 / SEC#: , 8-69507

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Phone number
(858) 376-6055
Established
Delaware since 06/02/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AXOS SECURITIES, LLCSHAREHOLDER
GALLMAN, TRACY LYNMANAGING PRINCIPAL2814720
TSCHUDIN, DEREK MICHAELCHIEF COMPLIANCE OFFICER4684900
WALSH, DERRICKFINOP/PFO/POO/CFO5945902

Disclosures

Regulatory Event1

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.

Company Information

AXOS INVEST LLC

CRD#: 172393Omaha, NE 68118

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