Tag Archives: #BrokerDealers

Episode 142 – Building Upon the Foundation of Axos Clearing – With Michael Scaplen

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , ,

Michael Scaplen is the Senior Vice President of Sales and Relationship Management at Axos Clearing, a full-service clearing firm focused on the success of their introducing broker-dealer and registered investment advisor correspondents.

In this podcast, Doug and Michael discuss the successful year Axos Clearing has accomplished and the biggest trends seen in the clearing world and their impacts. 

They also discussed:

  • How the 2022 clearing trends impacted broker-dealers
  • How Axos Clearing balances providing great service, growing its business, and maintaining profitability
  • What the clients are asking for
  • The future in this world as it becomes centered around immediate satisfaction
  • Approaching industry regulations
  • Axos Clearing’s cautious lean into crypto
  • The achievements of Axos Clearing’s successful year and what’s in store for the future

Resources: 

Axos Clearing

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Episode 105 – Delivering High Level Services to Clients – With Carla Barry

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Carla Barry is head of Operations at Axos Clearing, a full-service clearing firm focused on the success of introducing broker-dealer and registered investment advisor correspondents.

Doug and Carla talked about her coming from outside the financial services industry and what she believes goes into creating a great service model.

They also discussed:

  • What gets her excited to come to work every day
  • How she keeps her staff motivated at a high level
  • Her rating of the service her team currently provides to broker dealers
  • Using the strategy of teaching combined with problem solving
  • The way the feedback she is getting from clients has changed over the year she has worked there
  • What she would tell a prospect who is considering the service and support of Axos
  • Why Axos makes sense for her and what gets her excited about the future

Resources: Axos Clearing 



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Episode 48 – Building Advisor Businesses Through Partnership – with Val Peters Rayevskiy

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​​Val Peters Rayevskiy is the Chief Operating Officer of Kingswood U.S., an SEC-registered RIA and a FINRA-licensed broker/dealer with over $2B in assets under management, that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor.

In this episode of Power Your Advice, Doug Heikkinen and Val talk about his background, what drew him to financial services and why Kingswood U.S. is unique:

  • Why advisors should consider Kingswood, and why now
  • Why Kingswood works so hard to deliver personal touch and service to their advisors
  • How Kingswood’s culture of partnership drives everything they do
  • What the future holds for Kingswood U.S.

Resources: Kingswood U.S.

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