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Barbara Jean Saucier

Axos Clearing LLC

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About Barbara Jean Saucier

Barbara Jean Saucier is a financial advisor with over 16 years of experience in the industry. Barbara has held licenses and registrations in Nebraska since 2006. Currently, Barbara works as a financial advisor at Axos Clearing LLC in Omaha, Nebraska. Previously, Barbara worked at TD Ameritrade Clearing, Inc., TD Ameritrade, Inc., and Ameritrade, Inc. Barbara is also a registered principal, holding Series 4 and Series 24 licenses. In addition to her state licenses, she holds Series 3, 7, 99TO and SIE licenses.

Firm Information

Barbara Saucier is currently registered with Axos Clearing LLC. Axos Clearing LLC is a Limited Liability Company formed in 2004 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration and is regulated by the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

133

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Barbara Saucier’s Registration & Firm History

NE

07/10/2012 - Present

Axos Clearing LLC (Omaha NE)

NE

08/21/2009 - 12/08/2011

TD AMERITRADE CLEARING, INC. (BELLEVUE NE)

NE

04/22/2006 - 12/08/2011

TD AMERITRADE, INC. (BELLEVUE NE)

NE

03/17/2006 - 04/22/2006

AMERITRADE, INC. (BELLEVUE NE)

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Licenses & Designations

BOTH

Issued 05/01/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/13/2006

Series 4 - Registered Options Principal Examination

BC

Issued 08/21/2006

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/2007

Series 3 - National Commodity Futures Examination

BC

Issued 03/16/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Barbara Jean Saucier.
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