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CRD#: 172393
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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

AXOS INVEST LLC is located at 9205 W Russell Road Suite 400, Las Vegas, NV 89148 and was first established at Los Angeles, Delaware in 06/02/2014. After operating for 11 years, AXOS INVEST 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 INVEST LLC’s clients are individuals and 0% of their clients are high net worth individuals. AXOS INVEST 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 INVEST LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 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 INVEST 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 INVEST 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.

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Where the Statistical Data for AXOS INVEST LLC Comes From

Understanding the Statistics for AXOS INVEST LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1

FIRM INFORMATION

Main Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Mailing Address
9205 W Russell Road Suite 400, Las Vegas, NV 89148
Firm Size
Small
Phone Number
(858) 376-6055
Established
Delaware since 06/02/2014
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
AXOS SECURITIES, LLCSHAREHOLDER
GALLMAN, TRACY LYNMANAGING PRINCIPAL2814720
TSCHUDIN, DEREK MICHAELCHIEF COMPLIANCE OFFICER4684900
WALSH, DERRICKFINOP/PFO/POO/CFO5945902

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Advisor's working at AXOS INVEST LLC

DT

Derek Michael Tschudin

IAR
RR
CRD#: 4684900
Location:
Las Vegas, NV 89148
Company:
AXOS INVEST, INC
Disclosures:
Experience:
9 years
View Profile
KF

Kian Fadaee

IAR
RR
CRD#: 7542825
Location:
Las Vegas, NV 89148
Company:
AXOS INVEST, INC
Disclosures:
Experience:
3 years
View Profile
NC

Noah Vincent Cicciarelli

IAR
RR
CRD#: 7758586
Location:
San Diego, CA 92122
Company:
AXOS INVEST, INC
Disclosures:
Experience:
2 years
View Profile
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