Michael P. Scaplen
Professional summary
Michael Paul Scaplen, who also goes by Mike Scaplen, is a registered financial professional currently at AXOS CLEARING LLC located in Edison, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Paul Scaplen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 25, 2015 - Present
AXOS CLEARING LLC
Office #1: 110 Fieldcrest Ave 4th Floor, Edison, NJ 08837January 22, 2014 - August 27, 2015
ELECTRONIC TRANSACTION CLEARING, INC.
August 7, 2012 - October 16, 2013
HILLTOP SECURITIES INC.
June 14, 2012 - August 6, 2012
APEX CLEARING CORPORATION
July 18, 2006 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/25/2015)
(9/25/2015)
(9/25/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/8/2006
Limited Representative-Equity Trader ExamBOX Exchange LLC
Cboe BZX Exchange, Inc.
FINRA
Investors' Exchange LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
