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Allen L Harper

Axos Clearing LLC

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About Allen L Harper

Allen Harper is a registered representative with Axos Clearing LLC. Allen has been in the securities industry since March 21, 2007. Allen has been registered with the state of Colorado since July 14, 2023. Prior to working at Axos Clearing LLC, Allen was employed at Goldman Sachs Custody Solutions and TD Ameritrade, Inc. Allen has passed the General Securities Representative Examination, Uniform Securities Agent State Law Examination, General Securities Principal Examination and Securities Industry Essentials Examination.

Firm Information

Allen Harper is currently registered with Axos Clearing LLC. Axos Clearing LLC is a Limited Liability Company formed in 2004 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration and is regulated by the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

133

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Allen Harper’s Registration & Firm History

CO

07/14/2023 - Present

Axos Clearing LLC (CENTENNIAL CO)

TX

06/23/2021 - 07/21/2023

GOLDMAN SACHS CUSTODY SOLUTIONS (Dallas TX)

TX

03/05/2007 - 06/05/2021

TD AMERITRADE, INC. (Southlake TX)

TX

01/18/2013 - 12/31/2020

TD AMERITRADE CLEARING, INC. (Southlake TX)

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Licenses & Designations

BC

Issued 03/08/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/02/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/01/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BZX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Allen L Harper.
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