Robert C. Doebler
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.
Robert Charles Doebler was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1992. Robert had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 3, Series 7, Series 27 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
October 24, 2017 - July 7, 2020
APEX CLEARING CORPORATION
July 1, 2013 - October 19, 2017
VIRTU AMERICAS LLC
February 8, 2010 - July 1, 2013
GETCO SECURITIES, LLC
February 4, 2008 - June 11, 2014
GETCO EXECUTION SERVICES LLC
November 27, 2006 - June 11, 2014
OCTEG, LLC
March 18, 2002 - March 31, 2006
ALLSTATE FINANCIAL SERVICES, LLC
September 25, 1997 - December 31, 2001
MF GLOBAL INC.
January 3, 1995 - August 28, 1997
SBC WARBURG, INC.
September 17, 1992 - January 3, 1995
O'CONNOR & ASSOCIATES
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 7TO
Date: 12/5/2022
General Securities Representative ExaminationSeries 99TO
Date: 12/5/2022
Operations Professional ExaminationSeries 57TO
Date: 12/5/2022
Securities Trader ExamCurrent Firm
APEX CLEARING CORPORATION
CRD#: 13071 / SEC#: , 8-23522
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | SHAREHOLDER | |
| CAPUZZI, WILLIAM WALTER | CHIEF EXECUTIVE OFFICER | 4323894 |
| COUGHLIN, CONNOR DANIEL | CHIEF CUSTOMER OFFICER | 6665836 |
| DUCKWORTH, PAUL D | FINOP, PRINCIPAL FINANCIAL OFFICER | 3202937 |
| LOUIS-CHARLES, FRITZ | CHIEF OPERATIONS OFFICER (INCLUDES PRINCIPAL OPERATIONS OFFICER ROLE) | 3232698 |
| RAY, TERRY DAVID | CHIEF REVENUE OFFICER | 5295510 |
| TOURNEY, ROBERT ANDREW | CHIEF COMPLIANCE OFFICER | 6251742 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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