AXOS SECURITIES RIA, LLC
CRD #300096 SEC #801-114597 LAS VEGAS, NV 818-483-1060
SEC Registered
Total AUM
$0
Discretionary
$0
Employees
11
Clients
--
Accounts
0
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Jan 16, 2019
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MOORE, HERBERT, WILSON | I | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| MOORE, HERBERT, WILSON | I | CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER | NA | Control |
| ZHOU, VICKI | I | CHIEF OPERATING OFFICER | NA | Control |
| AXOS SECURITIES, LLC | DE | OWNER | E | Control |
| AXOS SECURITIES, LLC | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| AXOS FINANCIAL, INC. | DE | AXOS NEVADA HOLDING, LLC | F | Control |
| AXOS FINANCIAL, INC. | DE | AXOS NEVADA HOLDING, LLC | F | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES HOLDINGS, LLC | F | Control |
| AXOS NEVADA HOLDING, LLC | DE | AXOS SECURITIES HOLDINGS, LLC | F | Control |
| AXOS SECURITIES HOLDINGS, LLC | DE | AXOS SECURITIES, LLC | F | Control |
| AXOS SECURITIES HOLDINGS, LLC | DE | AXOS SECURITIES, LLC | F | Control |
Registrations
Federal
IA
Jan 16, 2019 REGISTERED
Notice Filings (50)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA RI SC SD TN TX UT VA VT WA WI WV
Address
9205 WEST RUSSELL ROADSUITE 400
LAS VEGAS, NV 89148
United States
Phone: 818-483-1060