Ronald P. Fiske
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.
Ronald Porter Fiske JR., who also goes by Ronald P Fiske, Ronald Porter Fiske Jr, Ronald Porter Fiske, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 53, Series 8 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
December 21, 2016 - October 23, 2019
APEX CLEARING CORPORATION
January 13, 2011 - December 19, 2016
PORTFOLIO BROKERAGE SERVICES, INC.
May 6, 2010 - July 26, 2010
NATIONAL FINANCIAL SERVICES LLC
July 1, 2008 - July 23, 2010
FIDELITY BROKERAGE SERVICES LLC
August 21, 2000 - May 9, 2008
PERSHING LLC
May 28, 1999 - July 28, 2000
WIT CAPITAL CORPORATION
December 3, 1997 - May 25, 1999
DB ALEX. BROWN LLC
May 18, 1992 - December 4, 1997
BT BROKERAGE CORPORATION
July 23, 1985 - September 24, 1985
CITICORP FINANCIAL SERVICES,INC.
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 8
Date: 11/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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