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Thomas Jeffrey Knox

Axos Clearing LLC

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About Thomas Jeffrey Knox

Thomas Knox is a registered representative with Axos Clearing LLC. Thomas has been in the industry since September 23, 2018. Thomas has passed the Securities Industry Essentials Examination and the Operations Professional Examination. Thomas is registered with FINRA.

Firm Information

Thomas Knox 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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Thomas Knox’s Registration & Firm History

NE

09/24/2018 - Present

Axos Clearing LLC (Omaha NE)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/22/2018

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Jeffrey Knox.
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