Allen L. Harper

AXOS CLEARING LLC

Centennial, CO 80112

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CRD#: 5111277

Professional summary

Allen L Harper, who also goes by Allen Lee Harper, is a registered financial professional currently at AXOS CLEARING LLC located in Centennial, Colorado.

Allen is registered as a RR (Registered Representative) and started their career in finance in 2007. Allen has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Allen Lee Harper

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Allen L Harper's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 14, 2023 - Present

AXOS CLEARING LLC

Office #1: 7103 S Revere Parkway, Centennial, CO 80112

CRD#: 117176

Centennial, CO

Past

June 23, 2021 - July 21, 2023

GOLDMAN SACHS CUSTODY SOLUTIONS

CRD#: 48015

Dallas, TX

Past

January 18, 2013 - December 31, 2020

TD AMERITRADE CLEARING, INC.

CRD#: 5633

Southlake, TX

Past

March 5, 2007 - June 5, 2021

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(7/14/2023)

Texas
(7/14/2023)

Exams

State Security Law Exam

Series 63

Date: 3/8/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/2/2009

General Securities Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

AXOS CLEARING LLC

CRD#: 117176 / SEC#: , 8-53595

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

15950 West Dodge Road Suite 300, Omaha, NE 68118

Mailing Address

15950 West Dodge Road Suite 300, Omaha, NE 68118

Phone number

(402) 384-6100

Established

Delaware since 01/22/2004

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Advisor Monitoring

Firm Stability Insights

Allen L. Harper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Allen L Harper's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLDMAN SACHS CUSTODY SOLUTIONS

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/8/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/1/2007

Series 24

Date: 4/2/2009

BOX 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

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AXOS CLEARING LLC

TRUST BUT VERIFY

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