James G. Rech
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.
James Gerard Rech was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2002 - November 5, 2002
AXOS CLEARING LLC
February 12, 1997 - November 5, 2002
KFS BD, INC.
March 13, 1996 - April 17, 1996
JOSEPH CHARLES & ASSOC., INC.
December 18, 1992 - February 2, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 17, 1986 - April 22, 1987
JW GENESIS CLEARING CORP.
February 23, 1984 - January 10, 1985
PRUDENTIAL EQUITY GROUP, LLC
July 6, 1982 - March 27, 1984
E. F. HUTTON & COMPANY INC
January 14, 1982 - March 30, 1982
DAIN RAUSCHER INCORPORATED
November 1, 1979 - August 12, 1981
CITIGROUP GLOBAL MARKETS 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 55
Date: 5/3/2006
Limited Representative-Equity Trader ExamCurrent 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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