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Rachel Mendoza

Axos Clearing LLC

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About Rachel Mendoza

Rachel Mendoza is a financial professional with over 20 years of experience in the industry. Rachel is currently registered with Axos Clearing LLC in Centennial, CO, where she began working on January 12, 2024. Prior to this, Rachel worked at Charles Schwab & Co., Inc. in Lone Tree, CO, from February 20, 2007, to January 16, 2024.

Firm Information

Rachel Mendoza 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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Rachel Mendoza’s Registration & Firm History

CO

01/12/2024 - Present

Axos Clearing LLC (CENTENNIAL CO)

CO

02/20/2007 - 01/16/2024

CHARLES SCHWAB & CO., INC. (Lone Tree CO)

CA

06/29/2005 - 01/22/2007

FSC SECURITIES CORPORATION (NEWPORT BEACH CA)

TX

03/31/2000 - 06/09/2005

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

NY

08/14/1999 - 11/11/1999

MONY SECURITIES CORPORATION (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/08/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/24/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/22/2000

Series 7 - General Securities Representative Examination

BC

Issued 08/11/1999

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 Rachel Mendoza.
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