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Daniel Thomas Broquadio

Axos Clearing LLC

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About Daniel Thomas Broquadio

Daniel Broquadio is a registered representative with Axos Clearing LLC in Omaha, NE. Daniel has been in the financial services industry for 16 years. Daniel has passed the SIE, Series 7, Series 63 and Series 66 exams. Daniel has been registered with FINRA since 1997 and has held previous registrations with Charles Schwab & Co., Inc., TD Ameritrade, Inc., Pruco Securities, LLC., Edward Jones, Buyandhold Securities Corporation, M.S. Farrell & Company, Inc. and Duke & Co., Inc.

Firm Information

Daniel Broquadio 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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Daniel Broquadio’s Registration & Firm History

NE

08/28/2023 - Present

Axos Clearing LLC (Omaha NE)

TX

07/27/2021 - 07/26/2023

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NE

11/26/2014 - 07/26/2023

TD AMERITRADE, INC. (OMAHA NE)

NJ

01/10/2011 - 11/12/2014

PRUCO SECURITIES, LLC. (ISELIN NJ)

MO

08/30/2010 - 12/08/2010

EDWARD JONES (ST. LOUIS MO)

NJ

04/26/2000 - 04/11/2002

BUYANDHOLD SECURITIES CORPORATION (EDISON NJ)

NY

06/17/1998 - 10/28/1998

M.S. FARRELL & COMPANY, INC. (SYOSSET NY)

NY

10/30/1997 - 07/17/1998

DUKE & CO., INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 11/12/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/17/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/2010

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 Daniel Thomas Broquadio.
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