Robert T. Shea
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.
Robert Terrence Shea, who also goes by Robert T Shea, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 5 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2020 - September 22, 2022
ELECTRONIC TRANSACTION CLEARING, INC.
March 5, 2018 - September 22, 2022
APEX CLEARING CORPORATION
April 13, 2007 - February 6, 2018
NATIONAL FINANCIAL SERVICES LLC
January 12, 2007 - April 12, 2007
NATIONAL FINANCIAL SERVICES LLC
August 2, 2004 - January 4, 2005
STOCKCROSS FINANCIAL SERVICES, INC.
July 9, 1998 - August 27, 2004
BARRY MURPHY & COMPANY, 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: 1/2/2023
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
ELECTRONIC TRANSACTION CLEARING, INC.
CRD#: 146122 / SEC#: , 8-67790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | OWNER | |
| BECKERMAN, JARRED | FINOP, PRINCIPAL FINANCIAL OFFICER | 6683745 |
| BRENNAN, WILLIAM ROBERT | PRESIDENT & CEO | 2447538 |
| COPPOLETTA, JAY CHRISTIAN | BOARD MEMBER | 6049053 |
| RAY, TERRY DAVID | PRINCIPAL OPERATIONS OFFICER | 5295510 |
| ROBBINS, JOHN FRANKLYN | CHIEF COMPLIANCE OFFICER | 1967073 |
| SPRINGER, CHRISTOPHER MICHAEL | CFO, CAO | 1814987 |
Disclosures
| Regulatory Event | 61 |
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.
