Dorothy A. Paddock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dorothy Ann Paddock was a registered financial professional .
Dorothy is a previously registered financial professional and started their career in finance in 1980. Dorothy had worked at 13 firms and has passed the Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2012 - October 16, 2013
AXOS CLEARING LLC
January 7, 2010 - January 13, 2012
DAVID LERNER ASSOCIATES, INC.
January 8, 2009 - December 2, 2009
AMHERST SECURITIES GROUP, L.P.
March 19, 2007 - August 8, 2008
COUNTRYWIDE SECURITIES CORPORATION
May 24, 2006 - March 29, 2007
RYAN BECK & CO.
May 2, 2005 - April 5, 2006
MAXIM GROUP LLC
January 7, 2005 - February 22, 2005
FHN FINANCIAL SECURITIES CORP.
June 25, 1996 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 19, 1996 - May 17, 1996
FMG SECURITIES CORP.
May 8, 1992 - March 28, 1995
LASALLE FINANCIAL SERVICES, INC.
September 19, 1989 - November 13, 1990
PERSHING LLC
December 29, 1980 - August 26, 1989
MABON, NUGENT & CO.
October 22, 1980 - January 19, 1981
SBC WARBURG DILLON READ INC.
State 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 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent 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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