Axos® Clearing, A Subsidiary of Axos Financial
Derek Tschudin, CAMS, currently serves as AVP of Retail Securities Compliance at Axos Invest since February 2021, where Derek managed all aspects of compliance for broker/dealer and RIA and held the role of Interim Chief Compliance Officer from February 2023 to April 2023. Previously, Derek worked at Axos Clearing as Compliance Officer and AML Analyst, alongside roles at Pacific Life, where Derek engaged in process improvements and employee training. Notable responsibilities include regulatory filings, advertising material reviews, managing customer complaints, and ensuring timely financial filings, with a comprehensive background in compliance, regulatory reporting, and training across various financial institutions.
Axos® Clearing, A Subsidiary of Axos Financial
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Axos Clearing LLC, formerly COR Clearing LLC, is a full-service clearing firm focused on the success of our introducing broker-dealer and registered investment advisor correspondents. For more than 15 years we’ve been providing flexible clearing solutions focused on empowering our correspondents to grow their businesses.