TC
Thomas P. Cleary
APEX CLEARING
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 2280797
TC
Professional summary
Thomas Patrick Cleary, who also goes by Thomas Patrick Cleary, Thoms Patrick Cleary, is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 30, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thomas Patrick Cleary | Thoms Patrick Cleary
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
SENTINUS HALO SECURITIES BROKER DEALER CHIEF COMPLIANCE OFFICER SINCE 12/2020 INVESTMENT RELATED SENTINUS LLC INVESTMENT ADVISER INVESTMENT ADVISER REPRESENTATIVE Will be recruiting advisors SINCE 12/2020 INVESTMENT RELATED
CRS (Client Relationship Summary) - BD
Click below to view Thomas Patrick Cleary's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 21, 2023 - Present
APEX CLEARING CORPORATION
Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201BD
CRD#: 13071
Dallas, TX
Past
June 16, 2022 - February 15, 2023
TASTYTRADE, INC.
BD
CRD#: 277027
CHICAGO, IL
Past
February 26, 2021 - June 7, 2022
ROTHSCHILD WEALTH LLC
RIA
CRD#: 162442
ELMHURST, IL
Past
January 5, 2021 - June 7, 2022
HALO SECURITIES, LLC
BD
CRD#: 279029
CHICAGO, IL
Past
October 2, 2019 - October 5, 2020
ZACKS INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 110897
CHICAGO, IL
Past
September 20, 2019 - October 8, 2020
LBMZ SECURITIES, INC.
BD
CRD#: 7874
CHICAGO, IL
Past
October 18, 2017 - August 30, 2019
LASALLE ST SECURITIES, L.L.C.
BD
CRD#: 7191
ELMHURST, IL
Past
February 9, 2000 - October 9, 2000
SCHONFELD SECURITIES, LLC
BD
CRD#: 23304
JERICHO, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(8/22/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
AC
APEX CLEARING CORPORATION
ADP CLEARING & OUTSOURCING SERVICES, INC. | U.S. CLEARING CORP. | RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. | Q & R CLEARING CORPORATION | FLEET SECURITIES, INC. | APEX CLEARING CORPORATION
CRD#: 13071 / SEC#: , 8-23522
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Mailing Address
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Phone number
(214) 765-1100
Established
New York since 12/22/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
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
Monitor Thomas Cleary
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
