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Kenneth A Gerken

Axos Clearing LLC

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About Kenneth A Gerken

Kenneth Gerken is a financial professional with over 28 years of experience in the industry. He is currently registered with Axos Clearing LLC in Centennial, Colorado. Kenneth has a broad range of experience, having previously worked with several firms including E*TRADE SECURITIES LLC, TCADVISORS NETWORK INC., and Charles Schwab & Co., Inc. Kenneth is licensed to sell securities in Colorado.

Firm Information

Kenneth Gerken 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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Kenneth Gerken’s Registration & Firm History

CO

08/13/2021 - Present

Axos Clearing LLC (CENTENNIAL CO)

CO

05/22/2019 - 08/16/2021

E*TRADE SECURITIES LLC (Centennial CO)

CO

07/14/2014 - 04/09/2018

TCADVISORS NETWORK INC. (CENTENNIAL CO)

CO

01/21/2010 - 04/23/2014

CURIAN CLEARING, LLC (DENVER CO)

CO

01/06/2004 - 12/31/2009

JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)

CA

09/11/1997 - 12/31/2003

NATIONAL PLANNING CORPORATION (LOS ANGELES CA)

TX

01/24/1995 - 03/24/1997

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

NY

04/06/1993 - 05/26/1995

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

MN

09/25/1991 - 02/27/1992

FORTIS INVESTORS, INC. (OAKDALE MN)

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Licenses & Designations

BC

Issued 05/31/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 04/09/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/24/1995

Series 7 - General Securities Representative Examination

BC

Issued 09/19/1991

Series 6 - Investment Company Products/Variable Contracts 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 Kenneth A Gerken.
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