KF
Kian Fadaee
AXOS INVEST,
Las Vegas, NV 89148
Some features on this profile are disabled
CRD#: 7542825
KF
Professional summary
Kian Fadaee is a registered financial advisor currently at AXOS INVEST, INC located in Las Vegas, Nevada and AXOS INVEST LLC located in Las Vegas, Nevada.
Kian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Kian has worked at 3 firms and has passed the Series 66, Series 99TO, Series 7TO, SIE, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kian Fadaee'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
March 24, 2023 - Present
AXOS INVEST, INC
Office #1: 9205 W Russell Road Suite 400, Las Vegas, NV 89148RIA
CRD#: 150953
Las Vegas, NV
Current
May 26, 2022 - Present
AXOS INVEST LLC
Office #1: 9205 W Russell Road Suite 400, Las Vegas, NV 89148Office #2: 9205 W Russell Road Suite 400, Las Vegas, NV 89148BD
CRD#: 172393
Las Vegas, NV
Current
September 2, 2023 - Present
AXOS CLEARING LLC
Office #1: 15950 West Dodge Road Suite 300, Omaha, NE 68118BD
CRD#: 117176
Omaha, NE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Nevada(3/20/2023)
IAR
Nevada(3/24/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 9/16/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 5/26/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
AI
AXOS INVEST, INC
ARCHIPELAGO CAPITAL MANAGEMENT LLC | WISEBANYAN, INC. | WISEBANYAN | HWM CAPITAL MANAGEMENT LLC | AXOS INVEST, INC
CRD#: 150953 / SEC#: 801-79951
RIA
Registered Investment Advisory firm - (6/25/2014 Approved)California
Registered Investment Advisory firm - (8/13/2014 Terminated)Connecticut
Registered Investment Advisory firm - (7/28/2014 Terminated)Delaware
Registered Investment Advisory firm - (7/14/2014 Terminated)District of Columbia
Registered Investment Advisory firm - (7/14/2014 Terminated)Indiana
Registered Investment Advisory firm - (7/14/2014 Terminated)Louisiana
Registered Investment Advisory firm - (8/1/2014 Terminated)Michigan
Registered Investment Advisory firm - (7/21/2014 Terminated)Nevada
Registered Investment Advisory firm - (8/18/2014 Terminated)New Jersey
Registered Investment Advisory firm - (7/11/2014 Terminated)New York
Registered Investment Advisory firm - (7/14/2014 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/28/2014 Terminated)Rhode Island
Registered Investment Advisory firm - (7/14/2014 Terminated)South Carolina
Registered Investment Advisory firm - (7/14/2014 Terminated)Texas
Registered Investment Advisory firm - (7/14/2014 Terminated)Virginia
Registered Investment Advisory firm - (7/14/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
Phone number
(858) 376-6055
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,625 |
| AUM (Assets Under Management) | $ 146,996,118 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 | ||
| 01/21/2025 | ||
| 03/04/2024 | ||
| 01/27/2023 |
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.
