RIAconnection
  • Bulletins
  • Fund Notification

New -  Cash/Margin Election in Liberty

9/20/2023

 
​Cash/Margin Election in Liberty

New -  Minimum lowered to $100 to participate in model processing in Liberty

9/20/2023

 
Minimum lowered to $100 to participate in model processing in Liberty

New - Q3 2023 Statement Messages, Updates and Insert information from Axos

9/20/2023

 
​Q3 2023 Statement Messages, Updates and Insert information from Axos

New - Mandatory Corporate Actions

9/20/2023

 
Mandatory Corporate Actions

Axos DocuSign Automation

9/13/2023

 
Axos DocuSign Automation Effective 9/27/23

Mandatory Corporate Actions

9/13/2023

 
​Mandatory Corporate Actions

Liberty Tax Harvesting now supports selling individual tax lots

9/6/2023

 
​Liberty Tax Harvesting now supports selling individual tax lots.

Virtu Execution Scorecard

9/6/2023

 
​The Q2 2023 Virtu Execution Scorecard is now available under the Quick Links.

Mandatory Corporate Actions

9/6/2023

 
Mandatory Corporate Actions

As Previously Announced, Axos New Account Application Launches Today

8/30/2023

 
As Previously Announced, Axos New Account Application Launches Today

The new account application was developed in response to feedback from you, our clients. This enhancement delivers a more streamlined experience, helps reduce NIGOs, simplifies the account opening process, and sets the stage for some features expected to roll out over the next year.
 
WHAT DO YOU NEED TO KNOW?
  • Starting on 9/1/23, the updated Account Application form will be available for client use. This change will apply to all interaction methods on Liberty, DocuSign, PDF, and third-party vendors.
  • The new form provides:
    • Updated formatting throughout.
    • New fields that will reduce NIGOs.
    • An e-signature version on Liberty that provides straight-through processing.
    • The ability to collect information for two future products:
      • Limited Margin – allows for trades using unsettled funds without subjecting an account to freeride restrictions.
        • Initially, Axos Advisor Services will be soliciting indications of interest in the margin feature. The client’s consent will be stored, and when the margin features are enabled, the client will be notified, and the account will be converted from a Cash account to a Margin account.
      • Investor Checking – an integrated checking account that allows clients to easily transfer funds to their investment accounts.
        • Access to an Investor Checking account will be enabled as we roll out the new Advisor Client Portal.
  • New Account Form Information
  • Axos Investor Checking Product – Frequently Asked Questions (updated document coming soon)
  • Margin – Frequently Asked Questions
  • Be on the lookout for an upcoming webinar to walk through product features and address any questions you may have. The date and registration link will be announced via RIA Connection.  
 
If you have immediate questions, please contact your CSA.
<<Previous
    Please contact your Client Service Advocate if you have any questions or concerns about these posts.

    ​​Quick Links
    ​
    Partner Providers
    ​
    Performance Reporting Overview


    Money Manager Listing 

    ​Liberty Login
    ​
    Virtu Execution Scorecard
    ​
    Redtail Integration User Guide

    Mediant Overview

    Mediant Wealth Manager Guide

    Mediant Webinar Recording
    ​​
    ​
    ​
    ​
    Axos Advisor Services Due DiligenceDocuments:

    *Privacy Notice https://www.axosclearing.com/privacy-notice/
    ​
    *Financial Statement. https://www.axosclearing.com/disclosures/
    *BCP Business Continuity Plan | BCP Information | Axos Clearing
    *AML Anti-Money Laundering Disclosure and Requirements | Axos Clearing
    *Axos Clearing: SOC2 Report







    Archives

    September 2023
    August 2023
    July 2023
    June 2023
    May 2023
    April 2023
    March 2023
    February 2023
    January 2023
    December 2022
    November 2022
    October 2022
    September 2022
    August 2022
    July 2022
    June 2022
    May 2022
    April 2022
    March 2022
    February 2022
    January 2022
    December 2021
    November 2021
    October 2021
    September 2021
    August 2021
    July 2021
    June 2021
    May 2021
    April 2021
    March 2021
    February 2021
    January 2021
    December 2020
    November 2020
    October 2020
    September 2020
    August 2020
    July 2020
    June 2020
    May 2020
    April 2020
    March 2020
    February 2020
    January 2020
    December 2019
    November 2019
    October 2019
    September 2019
    August 2019
    July 2019
    June 2019
    May 2019
    April 2019
    March 2019
    February 2019
    January 2019
    December 2018
    November 2018
    October 2018
    September 2018
    August 2018
    July 2018
    June 2018
    April 2018
    March 2018
    February 2018
    January 2018
    December 2017
    November 2017
    October 2017
    September 2017
    August 2017
    July 2017
    June 2017
    May 2017
    April 2017
    March 2017
    February 2017
    January 2017
    December 2016
    November 2016
    October 2016
    September 2016
    August 2016
    June 2016
    May 2016
    April 2016
    March 2016
    February 2016
    January 2016
    December 2015
    November 2015

    Contact Us
    1-303-705-6000
    ​
© 2021 Axos Clearing LLC. Member FINRA & SIPC. All Rights Reserved.

Axos Advisor Services is a trade name of Axos Clearing LLC. Axos Clearing LLC provides back-office services for registered investment advisers. Neither Axos Advisor Services nor Axos Clearing LLC provides investment advice or make investment recommendations in any capacity.

Securities products are offered by Axos Clearing LLC, Member FINRA & SIPC. Investment Products: Not FDIC Insured - No Bank Guarantee - May Lose Value.

​No information presented constitutes a recommendation by Axos Clearing LLC or its affiliates to buy, sell, or hold any security, financial product, or instrument discussed therein or to engage in any specific investment strategy. Axos Clearing, LLC does not provide legal, accounting, or tax advice. Always consult your own legal, accounting, and tax advisors.

  • Bulletins
  • Fund Notification