Pasquale Cestaro
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.
Pasquale Cestaro III, who also goes by Pasquale Cestaro, Pat Cestaro, was a registered financial professional .
Pasquale is a previously registered financial professional and started their career in finance in 1988. Pasquale had worked at 6 firms and has passed the Series 99TO, SIE, Series 7, Series 10 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
July 26, 2022 - October 4, 2022
ELECTRONIC TRANSACTION CLEARING, INC.
May 26, 2022 - October 4, 2022
APEX CLEARING CORPORATION
October 18, 2016 - October 4, 2022
CODA MARKETS, INC.
June 24, 2011 - August 30, 2016
AUTOMATED EQUITY FINANCE MARKETS, INC.
July 10, 1992 - April 1, 2010
J.P. MORGAN CLEARING CORP.
July 27, 1988 - April 1, 2010
J.P. MORGAN SECURITIES LLC
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
ELECTRONIC TRANSACTION CLEARING, INC.
CRD#: 146122 / SEC#: , 8-67790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | OWNER | |
| BECKERMAN, JARRED | FINOP, PRINCIPAL FINANCIAL OFFICER | 6683745 |
| BRENNAN, WILLIAM ROBERT | PRESIDENT & CEO | 2447538 |
| COPPOLETTA, JAY CHRISTIAN | BOARD MEMBER | 6049053 |
| RAY, TERRY DAVID | PRINCIPAL OPERATIONS OFFICER | 5295510 |
| ROBBINS, JOHN FRANKLYN | CHIEF COMPLIANCE OFFICER | 1967073 |
| SPRINGER, CHRISTOPHER MICHAEL | CFO, CAO | 1814987 |
Disclosures
| Regulatory Event | 61 |
Red Flags
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