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Mark Pagliuca

Axos Clearing LLC

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About Mark Pagliuca

Mark Pagliuca is a financial advisor with Axos Clearing LLC. Mark has been in the financial services industry since November 1999. Mark has a Series 6, 7, 63, 65, 99TO and SIE license. Mark has been registered with the state of Nebraska since January 2020. Mark has experience with Northern Lights Distributors, LLC, TD Ameritrade, Inc., Aquarius Fund Distributors, LLC, Orbitex Funds Distributor, Inc. and Scudder Investor Services, Inc.

Firm Information

Mark Pagliuca 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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Mark Pagliuca’s Registration & Firm History

NE

01/14/2020 - Present

Axos Clearing LLC (Omaha NE)

NE

03/26/2010 - 12/03/2019

NORTHERN LIGHTS DISTRIBUTORS, LLC (OMAHA NE)

NE

04/06/2009 - 03/03/2010

TD AMERITRADE, INC. (OMAHA NE)

NE

01/30/2007 - 11/20/2008

NORTHERN LIGHTS DISTRIBUTORS, LLC (OMAHA NE)

NE

10/07/2003 - 12/31/2006

AQUARIUS FUND DISTRIBUTORS, LLC (ELKHORN NE)

CT

10/17/2001 - 11/13/2003

ORBITEX FUNDS DISTRIBUTOR, INC. (STAMFORD CT)

NY

03/19/1999 - 09/17/2001

SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/23/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/10/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/03/2009

Series 7 - General Securities Representative Examination

BC

Issued 03/18/1999

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 Mark Pagliuca.
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