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EA

Erin Ace

AXOS CLEARING LLC
Centennial, CO 80112
Some features on this profile are disabled
CRD#: 7214387
EA

Professional summary

Erin Ace, who also goes by Erin Kendra Ace, Erin Kendra Thomasson, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.

Erin is registered as a RR (Registered Representative) and started their career in finance in 2024. Erin has worked at 1 firm and has passed the Series 99TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Erin Kendra Ace | Erin Kendra Thomasson

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erin Ace'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

September 17, 2024 - Present

AXOS CLEARING LLC

Office #1: 7103 S Revere Parkway, Centennial, CO 80112
BD
CRD#: 117176
Centennial, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 9/16/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

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
Small
# of Employees

FINRA licenses (53 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, LLCSOLE OWNER
CROW, DAVID MICHAELPRESIDENT, AXOS CLEARING, LLC4370102
FAUCHER, KATHY NOELAML OFFICER6323326
GREEN, HOWARD MICHAELCHIEF FINANCIAL OFFICER2535812
KINSELLA, SHAWN ROBERTCHIEF COMPLIANCE OFFICER5793966
PLUMMER, JEFFREY KENTPRINCIPAL OPERATIONS OFFICER4576783
SHIRMANG, STEPHEN LOWELLCHIEF OPERATIONS OFFICER3083416

Disclosures

Regulatory Event13

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 CLEARING LLC

CRD#: 117176Centennial, CO 80112

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