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Brian Marc Fogel

Axos Clearing LLC

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About Brian Marc Fogel

Brian Fogel is a financial advisor with over 20 years of experience in the industry. Brian is currently registered with Axos Clearing LLC in Omaha, NE. Brian has previously been registered with firms such as AXOS INVEST LLC, City National Securities, Inc., Morgan Stanley, WorldCo, L.L.C., Northeast Securities, Inc., and Smith Barney Inc. Brian holds Series 7, 63, and 66 licenses and the SIE exam. Brian is licensed in Nebraska, New Jersey, and New York.

Firm Information

Brian Fogel 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 Fogel’s Registration & Firm History

NE

11/13/2020 - Present

Axos Clearing LLC (Omaha NE)

NV

11/13/2020 - 11/23/2022

AXOS INVEST LLC (LAS VEGAS NV)

NY

01/28/2014 - 11/26/2018

CITY NATIONAL SECURITIES, INC. (NEW YORK NY)

NJ

07/11/2012 - 01/23/2014

MORGAN STANLEY (PARAMUS NJ)

NY

06/11/1998 - 07/22/1998

WORLDCO, L.L.C. (NEW YORK NY)

NY

08/05/1994 - 11/19/1997

NORTHEAST SECURITIES, INC. (MITCHELFIELD NY)

NY

03/22/1994 - 07/12/1994

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/03/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/10/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/05/2012

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 is public disclosure for Brian Marc Fogel. Review regulatory record here.
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