Bryce B. Engel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Bryce Bradley Engel, who also goes by Bryce B Engel, was a registered financial professional .
Bryce is a previously registered financial professional and started their career in finance in 1996. Bryce had worked at 9 firms and has passed the Series 63, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2012 - August 1, 2012
APEX CLEARING CORPORATION
April 7, 2009 - January 23, 2013
PENSON FINANCIAL SERVICES, INC.
September 7, 2006 - September 14, 2007
NATIONAL INVESTOR SERVICES CORP.
April 19, 2006 - November 6, 2008
TD AMERITRADE, INC.
January 12, 2004 - May 26, 2004
AMERITRADE NORTHWEST, INC.
November 1, 2002 - November 8, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
September 5, 2002 - October 24, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
January 2, 2002 - November 6, 2008
TD AMERITRADE CLEARING, INC.
September 13, 2001 - December 7, 2001
NEBRASKA HUDSON COMPANY, INC.
July 12, 1996 - December 31, 2001
J.P. SECURITIES, 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
Exams
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.
