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Joseph Jerome Sercl

Axos Clearing LLC

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About Joseph Jerome Sercl

Joseph Jerome Sercl is a securities professional with over 7 years of experience in the industry. Joseph has held various positions at TD Ameritrade, Inc., TD Ameritrade Clearing, Inc., and currently works at Axos Clearing LLC. Joseph holds a variety of licenses, including Series 3, 4, 7, 24, 34, and 63. Joseph is registered with the Securities and Exchange Commission and is licensed in all 50 states.

Firm Information

Joseph Sercl 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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Joseph Sercl’s Registration & Firm History

NE

10/01/2021 - Present

Axos Clearing LLC (Omaha NE)

NE

04/14/2015 - 08/14/2021

TD AMERITRADE, INC. (OMAHA NE)

NE

12/20/2017 - 04/20/2020

TD AMERITRADE CLEARING, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 04/23/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/27/2019

Series 4 - Registered Options Principal Examination

BC

Issued 12/06/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/10/2017

Series 34 - Retail Off-Exchange FOREX Examination

BC

Issued 06/02/2017

Series 3 - National Commodity Futures Examination

BC

Issued 04/14/2015

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 Joseph Jerome Sercl.
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