Paul Lang
Professional summary
Paul Lang, who also goes by Paul Steven Lang, is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1992. Paul has worked at 15 firms and has passed the Series 63, Series 25, Series 55, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Lang's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2021 - Present
APEX CLEARING CORPORATION
Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201December 20, 2021 - March 16, 2023
ELECTRONIC TRANSACTION CLEARING, INC.
August 1, 2017 - September 20, 2017
WELLS FARGO SECURITIES, LLC
November 3, 2008 - August 30, 2017
WELLS FARGO PRIME SERVICES, LLC
April 3, 2008 - October 24, 2008
C.K. COOPER & COMPANY, INC.
July 17, 2007 - April 3, 2008
WELLS FARGO PRIME SERVICES, LLC
November 13, 2006 - July 9, 2007
INTEGRA SECURITIES CORP.
July 1, 2005 - November 30, 2006
FIMAT PREFERRED LLC
December 23, 2003 - July 1, 2005
PREFERREDTRADE, INC.
March 17, 2003 - January 2, 2004
LAVAFLOW, INC.
October 22, 1997 - August 31, 2001
BANC OF AMERICA SECURITIES LLC
August 13, 1997 - November 20, 1997
ACCESS SECURITIES, LLC
January 1, 1997 - May 8, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
August 7, 1994 - December 11, 1996
NATIONAL CLEARING CORP.
September 3, 1992 - August 16, 1994
AMERIPRISE ADVISOR SERVICES, INC.
July 24, 1992 - September 3, 1992
H.J. MEYERS & CO., 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
(12/21/2021)
Exams
Series 25
Date: 4/22/2004
NYSE Trading Assistant ExaminationSeries 55
Date: 12/7/1999
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.
Company Information
APEX CLEARING CORPORATION
CRD#: 13071Dallas, TX 75201TRUST BUT VERIFY
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