CRD #117176 · FINRA BrokerCheck + SEC IAPD

Axos Clearing LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Axos Clearing LLC ranks #466 of 20,055 by disclosure count (most disclosures first). Among firms registered in NE, it ranks #1 of 8 on the same disclosure sort used on the state browse page. Axos Clearing LLC carries 14 BrokerCheck disclosures across 4 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
4
branch offices
14
disclosures
#466 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 117176 Axos Clearing LLC

Axos Clearing LLC · Grade C · 14 disc · 3.50/office · Small firm

  • CRD 117176
  • GRADE C
  • DISC 14
  • REG 13
  • ARB 1
  • CIV 0
  • BRANCH 4
  • PER-OFF 3.50
  • RANK #466 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Chardan Capital Markets LLC (3.50 disc/office)

Chardan Capital Markets…3.50Chimera Securities, LLC3.50Corporate Investments G…3.50Axos Clearing LLC (this)3.50
Disclosures per office among small firm peers (lower is cleaner)

Axos Clearing LLC ranks #466 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

4 offices

FINRA: Small firm

Total disclosures

14 events

On FINRA BrokerCheck

Regulatory events

13 actions

93% of all disclosures

Disclosures per office

3.50 per office

14 ÷ 4 offices

Axos Clearing LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

4 a cleaner per-office record than 2% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). This entry sits in this band. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 13
Arbitrations 1
Civil Events 0
Total 14

Counts for Axos Clearing LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 13 Arbitration 1 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Omaha, NE
CRD Number
117176

Elevated disclosures per office

Axos Clearing LLC in the heavier-disclosure third

Axos Clearing LLC carries 14 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#466 of 20,055). Regulator-initiated events are 93% of the book (13 regulatory / 1 arbitration / 0 civil).

Axos Clearing LLC runs 3.50 disclosures per branch office (cleaner than only 98% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Axos Clearing LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Nebraska cohort · 3.86× state average

Axos Clearing LLC sits above the Nebraska disclosure average

Axos Clearing LLC reports 14 BrokerCheck disclosures, 3.86× the Nebraska average of 3.6 across 8 graded firms with a principal-office state on file.

In Nebraska, 1 firm carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Nebraska state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Axos Clearing LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Axos Clearing LLC ranks #466 of 20,055 by disclosure count (most disclosures first). Among firms registered in NE, it ranks #1 of 8 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Axos Clearing LLC?
A grade of C reflects Axos Clearing LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 14 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Axos Clearing LLC have?
Axos Clearing LLC has 14 total FINRA disclosures, including 13 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Axos Clearing LLC?
Axos Clearing LLC operates 4 branch offices and is classified by FINRA as a small firm, registered in NE (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Axos Clearing LLC's disciplinary record?
You can verify Axos Clearing LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 117176. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Axos Clearing LLC's 14 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Axos Clearing LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Axos Clearing LLC carries 14 disclosures across 4 branch offices (about 3.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Axos Clearing LLC, both outside NE so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.