Brandon R. Mabie
Professional summary
Brandon Richard Mabie, who also goes by Brandon Richard Mabie, Brandon Mabie, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Brandon is registered as a RR (Registered Representative) and started their career in finance in 2019. Brandon has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brandon Richard Mabie's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 13, 2021 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112October 14, 2019 - December 31, 2020
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/13/2021)
Exams
Series 7TO
Date: 10/14/2019
General Securities Representative 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 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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