Yvette Gomez
Professional summary
Yvette Gomez, who also goes by Yvette Gomez Greiner, is a registered financial professional currently at APEX CLEARING CORPORATION located in New York, New York.
Yvette is registered as a RR (Registered Representative) and started their career in finance in 1995. Yvette has worked at 7 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Yvette Gomez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2012 - Present
APEX CLEARING CORPORATION
Office #1: 888 7th Avenue 32nd Floor, New York, NY 10106July 2, 2010 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
October 28, 2004 - July 1, 2010
APEX CLEARING CORPORATION
November 2, 2000 - November 1, 2004
BANC OF AMERICA SECURITIES LLC
May 4, 2000 - October 12, 2000
BULL & BEAR SECURITIES, INC.
October 7, 1997 - April 28, 2000
PERSHING LLC
June 2, 1997 - October 3, 1997
HARRISDIRECT LLC
April 7, 1997 - June 2, 1997
PERSHING LLC
March 18, 1997 - April 2, 1997
PERSHING ADVISOR SOLUTIONS LLC
October 13, 1995 - March 19, 1997
PERSHING 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 6/13/2000
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.
