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Paul Way Yeh

Axos Clearing LLC

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About Paul Way Yeh

Paul Yeh is a financial professional with over 10 years of experience in the industry. Paul is currently registered with Axos Clearing LLC and Axos Invest LLC. Prior to joining Axos, Paul worked for Cetera Investment Services LLC, Cetera Advisor Networks LLC, First Allied Securities, Inc., and LPL Financial LLC. Paul holds Series 7, Series 24, Series 66, and SIE licenses.

Firm Information

Paul Yeh 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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Paul Yeh’s Registration & Firm History

NE

06/28/2024 - Present

Axos Clearing LLC (Omaha NE)

CA

09/26/2017 - 04/21/2020

CETERA INVESTMENT SERVICES LLC (EL SEGUNDO CA)

CA

04/28/2017 - 04/21/2020

CETERA ADVISOR NETWORKS LLC (EL SEGUNDO CA)

CA

04/28/2017 - 04/21/2020

FIRST ALLIED SECURITIES, INC. (EL SEGUNDO CA)

SC

12/14/2012 - 04/26/2017

LPL FINANCIAL LLC (FORT MILL SC)

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Licenses & Designations

BOTH

Issued 03/02/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/12/2022

Series 24 - General Securities Principal Examination

BC

Issued 07/12/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2012

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 are no public disclosures for Paul Way Yeh.
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