SB
Sheila L. Buchwald
APEX CLEARING
Dallas, TX 75201
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CRD#: 2477627
SB
Professional summary
Sheila Lynn Buchwald, who also goes by Sheila Lynn Wong, is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas.
Sheila is registered as a RR (Registered Representative) and started their career in finance in 1995. Sheila has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sheila Lynn Wong
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Sheila Lynn Buchwald'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 11, 2016 - Present
APEX CLEARING CORPORATION
Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201BD
CRD#: 13071
Dallas, TX
Past
June 4, 2021 - March 16, 2023
ELECTRONIC TRANSACTION CLEARING, INC.
BD
CRD#: 146122
DALLAS, TX
Past
November 19, 1999 - December 31, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SAN FRANCISCO, CA
Past
November 19, 1999 - May 1, 2015
J.P. MORGAN CLEARING CORP.
BD
CRD#: 28432
SAN FRANCISCO, CA
Past
May 5, 1997 - October 14, 1999
ROTH CAPITAL PARTNERS, LLC
BD
CRD#: 15407
NEWPORT BEACH, CA
Past
February 9, 1996 - April 16, 1997
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 9, 1995 - February 6, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
Texas(8/11/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/17/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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)
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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
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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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