JP
Jennifer A. Phan
AXOS CLEARING LLC
Centennial, CO 80112
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CRD#: 6452983
JP
Professional summary
Jennifer Ashley Phan, who also goes by Jennifer Ashley Skinner, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.
Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2022. Jennifer has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jennifer Ashley Skinner
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.
1)01/07/2022 - Notary - State of CO - Start: 04/2018 2) 04/26/2022 - Caruso | Jendrusch Generational Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 05/01/2022- 10 Hours Per Month/ 0 Hours During Securities Trading
CRS (Client Relationship Summary) - BD
Click below to view Jennifer Ashley Phan's 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®
NoneExperience
Current
May 2, 2023 - Present
AXOS CLEARING LLC
Office #1: 7103 S Revere Parkway, Centennial, CO 80112BD
CRD#: 117176
Centennial, CO
Past
March 1, 2022 - May 9, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
DENVER, CO
Past
January 19, 2022 - May 9, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
DENVER, CO
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
Colorado(5/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
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
AC
AXOS CLEARING LLC
AXOS ADVISOR SERVICES | LEGENT CLEARING LLC | LEGENT CLEARING CORP. | LEGENT CLEARING | KP CLEARING, INC. | COR CLEARING LLC | AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
15950 West Dodge Road Suite 300, Omaha, NE 68118
Mailing Address
15950 West Dodge Road Suite 300, Omaha, NE 68118
Phone number
(402) 384-6100
Established
Delaware since 01/22/2004
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
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
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.
