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Brian Stuart Gover

CRD# 3028997·Registered 1998 - 2025
Previously Registered: Being a previously registered professional could mean that Brian 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.

Professional Summary

Brian Stuart Gover was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 1998 - 2025. Brian had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 14 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

22 years in the financial services industry

Current & Past Employments

APEX FINTECH BROKERAGE SERVICES·CRD# 305818
BD
Dallas, TX
January 31, 2025 - June 12, 2025
APEX CLEARING CORPORATION·CRD# 13071
BD
Dallas, TX
November 23, 2021 - June 12, 2025
APEX CLEARING CORPORATION·CRD# 13071
BD
Dallas, TX
June 6, 2012 - December 18, 2017
PENSON FINANCIAL SERVICES, INC.·CRD# 25866
BD
Dallas, TX
December 4, 2007 - August 6, 2012
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
April 22, 1998 - October 17, 2001

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Current Firm

AF
APEX FINTECH BROKERAGE SERVICES

APEX DIRECT | FINTRON INVEST LLC | FINTRON INVEST | APEX FINTECH BROKERAGE SERVICES LLC | APEX FINTECH BROKERAGE SERVICES

CRD#: 305818 / SEC#: 8-70414
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

350 N. Saint Paul Street Suite 1300, Dallas, TX 75201

Mailing Address

350 N. Saint Paul Street Suite 1300, Dallas, TX 75201

Phone Number

(214) 765-1297

Established

New York since 08/29/2019

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AFS ASSET MANAGEMENT HOLDINGS LLCSHAREHOLDER—
FINNEGAN, KEVINFINOP6778881
GALLWAS, ALAINA KRISTINECHIEF EXECUTIVE OFFICER/ CHIEF OPERATIONS OFFICER7312736
OXLEY, MICHAEL LLOYDCCO4768393

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2008About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2017About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jun 2016About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Dec 2007About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed Nov 2012About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Jul 2008About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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