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Richard Michael Hastings

Axos Clearing LLC

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About Richard Michael Hastings

Richard Hastings is a financial professional with experience in the industry. Richard is registered with Axos Clearing LLC and holds a Series 27 license. Richard has been in the industry since July 22, 2023.

Firm Information

Richard Hastings 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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Richard Hastings’s Registration & Firm History

NE

07/22/2023 - Present

Axos Clearing LLC (OMAHA NE)

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Licenses & Designations

BC

Issued 07/22/2023

Series 27 - Financial and Operations Principal 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 Richard Michael Hastings.
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