Remus O. Gaga
Professional summary
Remus Octavian Gaga, who also goes by Remo Gaga, Remus Gaga, Remus Octavian Gaga, is a registered financial professional currently at APEX CLEARING CORPORATION located in New York, New York.
Remus is registered as a RR (Registered Representative) and started their career in finance in 1992. Remus has worked at 11 firms and has passed the Series 63, Series 62, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Remus Octavian Gaga's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2024 - Present
APEX CLEARING CORPORATION
Office #1: 888 7th Avenue 32nd Floor, New York, NY 10106July 22, 2021 - November 16, 2023
STONEX OUTSOURCED SERVICES LLC
June 25, 2020 - November 16, 2023
STONEX FINANCIAL INC.
May 31, 2017 - June 24, 2020
COWEN AND COMPANY
April 2, 2004 - December 31, 2017
COWEN EXECUTION SERVICES LLC
August 8, 2003 - May 3, 2004
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
November 8, 2000 - August 14, 2003
SOUNDVIEW TECHNOLOGY CORPORATION
September 9, 1998 - December 31, 2000
WIT CAPITAL CORPORATION
April 20, 1994 - August 1, 1997
FLEET BROKERAGE SECURITIES, INC.
March 16, 1993 - March 31, 1994
TD AMERITRADE, INC.
July 1, 1992 - December 2, 1993
HANOVER, STERLING & COMPANY LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/2/2024)
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/19/2003
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
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.
