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Michael Paul Scaplen

Axos Clearing LLC

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About Michael Paul Scaplen

Michael Scaplen is a financial professional with over 16 years of experience in the industry. Michael has a strong background in securities trading and operations, and is currently registered with Axos Clearing LLC. Previously, Michael was employed by Electronic Transaction Clearing, Inc., Southwest Securities, Inc., Apex Clearing Corporation, and Penson Financial Services, Inc. Michael has held various roles in his career, including Registered Options Principal, General Securities Principal, and Series 7 and 63 licensed representative.

Firm Information

Michael Scaplen 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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Michael Scaplen’s Registration & Firm History

NJ

09/25/2015 - Present

Axos Clearing LLC (Edison NJ)

TX

01/22/2014 - 08/27/2015

ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)

NJ

08/07/2012 - 10/16/2013

SOUTHWEST SECURITIES, INC. (MATAWAN NJ)

TX

06/14/2012 - 08/06/2012

APEX CLEARING CORPORATION (DALLAS TX)

TX

07/18/2006 - 08/01/2012

PENSON FINANCIAL SERVICES, INC. (DALLAS TX)

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Licenses & Designations

BC

Issued 08/02/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/21/2006

Series 4 - Registered Options Principal Examination

BC

Issued 10/12/2006

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/08/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 07/17/2006

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 Michael Paul Scaplen.
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