Tag Archives: #MichaelScaplen

Episode 163 – Axos Takeover: Watching the Market While Watching the Consumer with Michael Scaplen and Chris Versace

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

In this episode, Michael Scaplen, Head of Business Development at Axos Clearing, hosts an exclusive Axos Clearing “AxKicker Podcast” for the Power Your Advice series. Michael is joined by Chris Versace, the Chief Investment Officer and Thematic Strategist at Tematica Research: the lead Portfolio Manager for the Action Alerts Plus newsletter. 

Michael and Chris dive into the current state of the market, the effects of inflation and other factors on it, and how Axos Financial and Tematica Research are prepared for the short-term and long-term impacts.

They also discussed:

  • The possibility of one more quarter-point coming on 
  • If inflation will continue to rise and the sequential impacts that might follow
  • The concern of the retail community over-leveraging themselves in this inflation environment
  • The near future of brick-and-mortar establishments and commercial real estate as a whole
  • The future of online banking technologies and how Axos Financial is at the forefront of the movement
  • The AI-driven impacts on the stock market
  • Thematic versus sector investing

 

Resources: 

Axos Clearing

Tematica Research

 

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Episode 161 – Axos Clearing Takeover: Expanding Offerings and Evolving the Market with Michael Scaplen and Mark Davies

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

In this episode, Michael Scaplen, Senior Vice President of Sales and Relationship Management at Axos Clearing, hosts an exclusive Axos Clearing Educational podcast for the Power Your Advice series. Michael is joined by Mark Davies, Co-Founder and CEO of S3. S3 is a full-service compliance and trade analytics software, providing financial industry clients with the intelligence, services, and technology that helps them to make their trades.

Michael and Mark discuss regulatory reporting as it relates to the most recent SEC proposals and CAT solutions. We hear about S3’s position in this space and how the firm is keeping its clients informed and their satisfaction prioritized.

They also discussed:

  • The beginnings of S3 and how the company got off the ground
  • The target audience of S3 and their customer base
  • The evolution of the market and the most significant challenges coming for the S3 client base
  • The four regulations proposed by the SEC and the resource of S3 which clients can leverage to keep informed about such changes in the industry
  • The S3 CAT (Consolidated Audit Trail) reporting system
  • The customized experience S3 provides their clients
  • What Mark sees for the future of the firm and the evolution of S3

 

Resources: 

Axos Clearing

S3

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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 81 – Technology Drives Innovation in Clearing – With Michael Scaplen

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

Michael Scaplen is the senior vice president of sales and relationship management at Axos Clearing, a company that prides itself on delivering flexible solutions backed by innovative technology, experienced industry professionals and access to leading bank products. 

In today’s episode, Doug and Michael talk about technology and innovation – how clearing houses in general should be thinking about them and how technology can enhance what a clearing firm can offer to broker-dealers.  They also talk about

  • What innovation means for a clearing house
  • Why the Axos Clearing API Store is the foundation of their innovation
  • How Axos is thinking about cryptocurrency
  • Why the speed at which clearing moves has intensified over the past five years
  • What Axos’ S-Block product is and why it is important
  • Why a holistic digital offering – a clearing ecosystem – is the holy grail of clearing
  • What Axos Clearing is working to build that is unique for correspondents
  • How correspondents can tell if their providers are innovating or staying stagnant

Resources:  Axos Clearing LLC

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Episode 79 – The Importance of the Right Clearing House Partner – With Michael Scaplen and Brian King

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

Realto, through its partnership with Axos Clearing, became the first ever platform to have a fully electronic secondary transaction of an alternative investment. 

In today’s episode, Michael Scaplen, Senior Vice President of Sales at Axos Clearing, LLC, and Brian King, CEO and Co-Found of Realto again join Doug for a discussion about the importance of choosing the right partner for now and into the future.

  • Why do firms choose a specific clearing partner to suit their needs? 
  • How Axos is working to expand its FinTech capabilities
  • How far in advance Realto worked to get the right partner in place
  • How Axos invests in its clients by bringing in the correct resources to design solutions to meet their needs
  • The questions Realto needed answered as they searched for the correct clearing partner

Resources: Axos Clearing | Realto

 

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Episode 66 – Investigating a New Clearing House? Here are 7 Questions You Need to Get Answered– With Michael Scaplen

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

Michael Scaplen, Axos Clearing’s SVP of Sales and Relationship Management, is back. This time to outline questions you should get answered when considering changing clearing houses.

This episode of Power Your Advice is a rapid-fire Q&A between Doug and Michael, in which Michael provides insider insight on each of the following:

  • What does a clearing house stand for?
  • How long have they been in the business? Do they have a vision and the wherewithal to sustain changes in the market?
  • Can they handle the business I’m doing today? As well as or better than my current clearing house
  • Do they have a particular expertise or something they specialize in?
  • Who are their current clients
  • What’s the conversion process? Do they have a team to support my move?
  • What’s the future? What’s the vision?

Resources:  Axos Clearing, LLC

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Episode 46 – What Advisors Should Know About Clearing Houses – with Michael Scaplen

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

At Advisorpedia, we feel it’s our duty to deliver advanced-level content that makes experienced financial advisors better in every way alongside content designed to level set and educate advisors at all levels. We will be dedicating some Power Your Advice episodes to that effort. Joining us to discuss our first topic – clearing firms – is Michael Scaplen, senior vice president of sales and relationship management at Axos Clearing, LLC. In today’s episode, Doug & Michael answer the following questions:

  • What does a clearing house do? 
  • What types of transactions occur on behalf of the advisor and their clients inside a clearing firm?
  • What makes clearing firms different from one another?
  • What should drive advisors to choose one clearing firm over another?
  • How have clearing firms evolved over the last 10 years?
  • What does the future hold for clearing houses?

Resources: Axos Clearing, LLC

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Episode 39 – Is it Time to Consider Changing Clearing Providers – With Michael Scaplen

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

Michael Scaplen is the senior vice president of sales and relationship management for Axos Clearing, LLC, a full-service clearing firm that provides flexible clearing solutions focused on empowering introducing broker-dealer and registered investment advisor correspondents to grow their businesses. In this episode of Power Your Advice, Doug Heikkinen and Mike discuss recent changes in the financial services industry, and how Axos has evolved how it serves broker-dealers as a result.

  • How consolidation across the industry has affected Axos
  • How broker-dealers can recognize when it might be time to consider changing clearing providers
  • How Axos’ onboarding process makes the transition seamless for broker-dealers
  • What proactive steps can broker-dealers take to prepare to make to change clearing providers

Resources: Axos Clearing, LLC

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Episode 24 – Success Begins With Listening Deeply to Your Clients – with Michael Scaplen

Finance, Industry Innovators, IRIS Media Works, Power Your Advice, Uncategorized, , , , , , , ,

Michael Scaplen is the senior vice president of sales and relationship management at Axos Clearing, a full-service clearing firm and custodian serving introducing broker-dealer and registered investment advisors.

In this episode of Power Your Advice, Doug Heikkinen and Michael talk about the importance of being technologically nimble and delivering seamless, outstanding customer service in today’s environment. They also discuss the pillars of Axos’ business model and how it can empower advisors to better serve their clients.

You will also learn:

  • Why the pillars of Axos’ business are unique in the financial services industry.
  • Why Axos is committed to being light and nimble in its approach to technology, and how that benefits advisors.
  • How Axos puts the advisor first in everything they do, and how that, in turn, helps advisors deliver a better experience to their clients.

Resources: Axos Clearing

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