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Brian Joseph Rothermund

Axos Clearing LLC

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About Brian Joseph Rothermund

Brian Rothermund is a financial professional with over 17 years of experience in the financial services industry. Brian is currently registered with Axos Clearing LLC in Omaha, Nebraska. Previously, Brian was associated with TD Ameritrade, Inc. and Charles Schwab & Co., Inc. in Omaha, Nebraska. Brian holds the Series 7, Series 24, and Series 63 licenses as well as the Securities Industry Essentials (SIE) exam.

Firm Information

Brian Rothermund 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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Brian Rothermund’s Registration & Firm History

NE

01/16/2024 - Present

Axos Clearing LLC (Omaha NE)

NE

11/18/2022 - 01/09/2024

CHARLES SCHWAB & CO., INC. (Omaha NE)

NE

03/24/2020 - 01/09/2024

TD AMERITRADE CLEARING, INC. (OMAHA NE)

NE

02/09/2011 - 03/30/2020

TD AMERITRADE, INC. (OMAHA NE)

NE

01/24/2008 - 07/22/2019

TD AMERITRADE CLEARING, INC. (OMAHA NE)

NE

08/03/2006 - 01/24/2008

TD AMERITRADE, INC. (BELLEVUE NE)

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Licenses & Designations

BC

Issued 08/10/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/27/2013

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/02/2006

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 Brian Joseph Rothermund.
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