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BB

Blake S. Baker

AXOS CLEARING LLC
Centennial, CO 80112
Some features on this profile are disabled
CRD#: 7378751
BB

Professional summary

Blake Scott Baker, who also goes by Blake Baker, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.

Blake is registered as a RR (Registered Representative) and started their career in finance in 2021. Blake has worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Blake Baker

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 Blake Scott Baker'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

December 17, 2024 - Present

AXOS CLEARING LLC

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

July 24, 2024 - December 3, 2024

ETC BROKERAGE SERVICES, LLC

BD
CRD#: 145276
DALLAS, TX
Past

September 24, 2021 - August 10, 2022

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
GREENWOOD VILLAGE, 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
(12/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/4/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 7/24/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/24/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/17/2021
Securities Industry Essentials Examination
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)

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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