Patrick J. Dolan
Professional summary
Patrick Joseph Dolan, who also goes by Pat Dolan, is a registered financial professional currently at APEX CLEARING CORPORATION located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1994. Patrick has worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Joseph Dolan's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2020 - Present
APEX CLEARING CORPORATION
Office #1: 888 7th Avenue 32nd Floor, New York, NY 10106June 16, 2022 - May 1, 2024
CODA MARKETS, INC.
November 2, 2020 - March 16, 2023
ELECTRONIC TRANSACTION CLEARING, INC.
October 27, 2017 - October 11, 2018
COWEN AND COMPANY
December 22, 2009 - October 11, 2018
COWEN EXECUTION SERVICES LLC
June 25, 2007 - December 15, 2009
NYFIX MILLENNIUM, L.L.C.
April 20, 2005 - September 13, 2005
UBS SECURITIES LLC
June 30, 2003 - May 25, 2005
UBS CAPITAL MARKETS L.P.
July 1, 1998 - April 8, 2003
COWEN AND COMPANY
June 14, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
July 28, 1994 - June 15, 1995
NEBRASKA HUDSON COMPANY, INC.
April 27, 1994 - May 11, 1994
MORGAN STANLEY DW 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 55
Date: 8/26/1998
Limited Representative-Equity Trader ExamBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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
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