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Joseph Jerome Sercl

AXOS CLEARING
Omaha, NE
·CRD# 6461013·11 years experience

Professional Summary

Joseph Jerome Sercl is a registered financial advisor currently at AXOS CLEARING LLC located in Omaha, Nebraska. Joseph is registered as a RR (Registered Representative) and started their career in finance in 2015. Joseph has worked at 3 firms and has passed the Series 63, SIE, Series 34, Series 3, Series 7, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

11 years in the financial services industry

Current & Past Employments

AXOS CLEARING LLC·CRD# 117176
BD
15950 West Dodge Road Suite 300, Omaha, NE 68118
October 1, 2021 - Present
TD AMERITRADE CLEARING, INC.·CRD# 5633
BD
Omaha, NE
December 20, 2017 - April 20, 2020
TD AMERITRADE, INC.·CRD# 7870
BD
Omaha, NE
April 14, 2015 - August 14, 2021

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Byron O Smith
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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)

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

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AXOS SECURITIES, LLCSOLE OWNER—
FAUCHER, KATHY NOELAML OFFICER6323326
GREEN, HOWARD MICHAELCHIEF FINANCIAL OFFICER2535812
KINSELLA, SHAWN ROBERTCHIEF COMPLIANCE OFFICER5793966
PLUMMER, JEFFREY KENTPRINCIPAL OPERATIONS OFFICER4576783
SHIRMANG, STEPHEN LOWELLPRESIDENT/COO, AXOS CLEARING, LLC3083416

Disclosures

Regulatory Event

13

Arbitration

1

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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

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(3/20/2024)
RR
Alaska
(3/20/2024)
RR
Arizona
(3/20/2024)
RR
Arkansas
(3/20/2024)
RR
California
(3/20/2024)
RR
Colorado
(3/20/2024)
RR
Connecticut
(3/20/2024)
RR
Delaware
(3/20/2024)
RR
District of Columbia
(3/20/2024)
RR
Florida
(3/20/2024)
RR
Georgia
(3/20/2024)
RR
Hawaii
(3/20/2024)
RR
Idaho
(3/20/2024)
RR
Illinois
(3/20/2024)
RR
Indiana
(3/20/2024)
RR
Iowa
(3/20/2024)
RR
Kansas
(3/20/2024)
RR
Kentucky
(3/20/2024)
RR
Louisiana
(3/20/2024)
RR
Maine
(3/20/2024)
RR
Maryland
(3/20/2024)
RR
Massachusetts
(3/20/2024)
RR
Michigan
(3/20/2024)
RR
Minnesota
(3/20/2024)
RR
Mississippi
(3/20/2024)
RR
Missouri
(3/20/2024)
RR
Montana
(3/20/2024)
RR
Nebraska
(10/1/2021)
RR
Nevada
(3/20/2024)
RR
New Hampshire
(3/20/2024)
RR
New Jersey
(3/20/2024)
RR
New Mexico
(3/20/2024)
RR
New York
(3/20/2024)
RR
North Carolina
(3/20/2024)
RR
North Dakota
(3/20/2024)
RR
Ohio
(3/20/2024)
RR
Oklahoma
(3/20/2024)
RR
Oregon
(3/20/2024)
RR
Pennsylvania
(3/20/2024)
RR
Puerto Rico
(3/20/2024)
RR
Rhode Island
(3/20/2024)
RR
South Carolina
(3/20/2024)
RR
South Dakota
(3/20/2024)
RR
Tennessee
(3/20/2024)
RR
Texas
(3/20/2024)
RR
Utah
(3/20/2024)
RR
Vermont
(3/20/2024)
RR
Virgin Islands
(3/20/2024)
RR
Virginia
(3/20/2024)
RR
Washington
(3/20/2024)
RR
West Virginia
(3/20/2024)
RR
Wisconsin
(3/20/2024)
RR
Wyoming
(3/20/2024)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2015About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 34 — Retail Off-Exchange FOREX Examination

Passed Nov 2017About the Series 34 exam

Series 3 — National Commodity Futures Examination

Passed Jun 2017About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Apr 2015About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Feb 2019About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Dec 2018About the Series 24 exam
BOX Exchange LLC
SRO Registrations
Cboe BZX Exchange, Inc.
SRO Registrations
FINRA
SRO Registrations
Investors' Exchange LLC
SRO Registrations
Miami International Securities Exchange, LLC
SRO Registrations
NYSE American LLC
SRO Registrations
NYSE Arca, Inc.
SRO Registrations
NYSE Texas, Inc.
SRO Registrations
Nasdaq ISE, LLC
SRO Registrations
Nasdaq Stock Market
SRO Registrations
New York Stock Exchange
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Joseph Jerome Sercl's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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