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FIRM PROFILE
Overview
AXOS CLEARING LLC is located at 15950 West Dodge Road Suite 300, Omaha, NE 68118 and was first established at Kansas City, Delaware in 01/22/2004. After operating for 22 years, AXOS CLEARING LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of AXOS CLEARING LLC’s clients are individuals and 0% of their clients are high net worth individuals. AXOS CLEARING LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at AXOS CLEARING LLC are registered to handle securities or provide financial advice. The firm has 13 disclosures, 13 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access AXOS CLEARING LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at AXOS CLEARING LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for AXOS CLEARING LLC Comes From
Understanding the Statistics for AXOS CLEARING LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
15950 West Dodge Road Suite 300, Omaha, NE 68118
15950 West Dodge Road Suite 300, Omaha, NE 68118
Medium
(402) 384-6100
Delaware since 01/22/2004
Limited Liability Company
June
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at AXOS CLEARING LLC
Derek Michael Tschudin
Kian Fadaee
Michael Jeffrey Richards
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