Michael Klepper
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Klepper, who also goes by Michael Cain Klepper, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 5 firms and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2025 - June 17, 2025
AXOS CLEARING LLC
November 23, 2021 - June 17, 2025
AXOS INVEST, INC
October 7, 2021 - June 17, 2025
AXOS INVEST LLC
February 14, 2019 - September 2, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
February 13, 2019 - September 2, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
September 5, 2012 - June 27, 2017
LPL FINANCIAL LLC
December 15, 2006 - June 27, 2017
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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
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