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PN

Patricia M. Neil

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CRD#: 1803527
PN

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.

Patricia Mary Neil, who also goes by Patti Neil, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1997. Patricia had worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patti Neil

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 2, 2022 - March 16, 2023

ELECTRONIC TRANSACTION CLEARING, INC.

BD
CRD#: 146122
New York, NY
Past

June 2, 2022 - May 12, 2026

APEX CLEARING CORPORATION

BD
CRD#: 13071
New York, NY
Past

September 30, 2016 - October 27, 2020

E*TRADE SECURITIES LLC

BD
CRD#: 29106
Jersey City, NJ
Past

June 15, 2010 - September 30, 2016

E*TRADE CLEARING LLC

BD
CRD#: 25025
Jersey City, NJ
Past

April 2, 2007 - March 27, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

February 21, 1997 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/4/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1997
General Securities Representative Examination

Current Firm

ET
ELECTRONIC TRANSACTION CLEARING, INC.
APEX PRO | ELECTRONIC TRANSACTION CLEARING, INC.

CRD#: 146122 / SEC#: , 8-67790

BD
Terminated by SEC on 12/04/2023
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/02/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
APEX FINTECH SOLUTIONS INC.OWNER
BECKERMAN, JARREDFINOP, PRINCIPAL FINANCIAL OFFICER6683745
BRENNAN, WILLIAM ROBERTPRESIDENT & CEO2447538
COPPOLETTA, JAY CHRISTIANBOARD MEMBER6049053
RAY, TERRY DAVIDPRINCIPAL OPERATIONS OFFICER5295510
ROBBINS, JOHN FRANKLYNCHIEF COMPLIANCE OFFICER1967073
SPRINGER, CHRISTOPHER MICHAELCFO, CAO1814987

Disclosures

Regulatory Event61

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ELECTRONIC TRANSACTION CLEARING, INC.

CRD#: 146122

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