Christopher M. Springer
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.
Christopher Michael Springer, who also goes by Christopher Michael Springer, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1990. Christopher had worked at 12 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2019 - April 4, 2024
APEX CLEARING CORPORATION
January 5, 2018 - March 28, 2024
ELECTRONIC TRANSACTION CLEARING, INC.
June 8, 2016 - December 22, 2016
FCF SECURITIES AND DERIVATIVES LLC
June 4, 2014 - June 13, 2014
LIQUIDPOINT, LLC
June 4, 2014 - June 13, 2014
G-TRADE SERVICES LLC
February 24, 2010 - June 13, 2014
CONVERGEX PRIME SERVICES LLC
July 11, 2005 - January 2, 2007
LYNCH, JONES & RYAN LLC
December 13, 2001 - June 13, 2014
WESTMINSTER RESEARCH ASSOCIATES LLC
May 18, 2000 - July 7, 2005
B-TRADE SERVICES LLC
September 21, 1999 - April 10, 2000
BNY INVESTMENT CENTER INC.
January 1, 1994 - June 13, 2014
COWEN EXECUTION SERVICES LLC
June 19, 1990 - January 1, 1994
EXECUTION SERVICES INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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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