Eric C. Zahn
Professional summary
Eric Christopher Zahn, who also goes by Eric Zahn, Eric Christopher Zahn, is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1994. Eric has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 26, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Christopher Zahn's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2020 - Present
APEX CLEARING CORPORATION
Office #1: One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201May 11, 2018 - August 27, 2019
1ST GLOBAL ADVISORS INC
May 11, 2018 - August 27, 2019
1ST GLOBAL CAPITAL CORP.
August 18, 2014 - May 13, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 22, 2011 - May 13, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 24, 2008 - February 15, 2011
TD AMERITRADE, INC.
November 24, 2008 - February 15, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 12, 2008 - February 15, 2011
TD AMERITRADE, INC.
April 27, 1994 - May 2, 1994
COMERICA FINANCIAL SERVICES, INC.
April 27, 1994 - August 14, 2007
FIDELITY BROKERAGE SERVICES 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
(3/13/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX 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.
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Company Information
APEX CLEARING CORPORATION
CRD#: 13071Dallas, TX 75201TRUST BUT VERIFY
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