Shawn Kinsella

Chief Compliance Officer at Axos® Clearing, A Subsidiary of Axos Financial
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Contact Information
us****@****om
(386) 825-5501
Location
La Vista, Nebraska, United States, US

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Bio

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Credentials

  • Series 66
    FINRA
    Oct, 2014
    - Nov, 2024
  • Series 24
    FINRA
    Oct, 2012
    - Nov, 2024
  • Series 7
    FINRA
    Feb, 2012
    - Nov, 2024

Experience

  • Axos® Clearing, A Subsidiary of Axos Financial
    • United States
    • Financial Services
    • 1 - 100 Employee
    • Chief Compliance Officer
      • Mar 2022 - Present

  • Advisor Group
    • Financial Services
    • 700 & Above Employee
    • Compliance Officer - Regulatory Testing
      • Nov 2020 - Mar 2022

  • Securities America Inc.
    • United States
    • Financial Services
    • 300 - 400 Employee
    • First Vice President - Risk Management
      • Jan 2019 - Nov 2020

    • Director of Risk Management
      • Apr 2015 - Jan 2019

    • Senior Branch Auditor
      • Oct 2014 - Apr 2015

    • Branch Auditor
      • May 2013 - Oct 2014

    • Registered Investment Advisor Compliance Analyst II
      • Sep 2011 - May 2013

    • Compensation Research Specialist
      • May 2010 - Sep 2011

Education

  • Iowa State University
    Bachelor of Science - BS, Accounting
    2004 - 2008

Community

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