Brendon P. Cooper
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.
Brendon Phelps Cooper was a registered financial professional .
Brendon is a previously registered financial professional and started their career in finance in 1999. Brendon had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2020 - December 14, 2021
APEX CLEARING CORPORATION
June 3, 2015 - December 6, 2019
GOLDMAN SACHS CUSTODY SOLUTIONS
February 27, 2015 - June 4, 2015
SEI INVESTMENTS MANAGEMENT CORP
February 26, 2015 - June 4, 2015
SEI INVESTMENTS DISTRIBUTION CO.
September 5, 2008 - March 2, 2015
GOLDMAN SACHS CUSTODY SOLUTIONS
September 27, 2006 - April 17, 2008
HARRISDIRECT LLC
July 25, 2006 - April 17, 2008
E*TRADE SECURITIES LLC
November 18, 2004 - July 18, 2006
BNY MELLON SECURITIES CORPORATION
November 12, 2004 - July 18, 2006
BNY MELLON SECURITIES CORPORATION
August 23, 1999 - November 2, 2004
EATON VANCE DISTRIBUTORS, INC.
April 5, 1999 - September 2, 1999
AMUNDI DISTRIBUTOR US, 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
Series 7TO
Date: 12/4/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/4/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
