Manuel C. Gonzalez
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.
Manuel Cohen Gonzalez IV, who also goes by Manuel C Gonzalez, Manuel Cohen Gonzalez, was a registered financial advisor .
Manuel is a previously registered financial advisor and started their career in finance in 1999. Manuel had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 22, Series 6 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2012 - July 31, 2012
APEX CLEARING CORPORATION
June 4, 2012 - July 31, 2012
PENSON FINANCIAL SERVICES, INC.
October 28, 2009 - February 23, 2012
1ST GLOBAL CAPITAL CORP.
March 27, 2009 - October 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
March 24, 2009 - October 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 14, 2004 - February 11, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 14, 2004 - February 11, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 13, 2000 - May 31, 2001
J.P. SECURITIES, INC.
September 30, 1999 - November 17, 1999
TEXAKOMA FINANCIAL, INC.
July 22, 1999 - August 20, 1999
JANUS HENDERSON DISTRIBUTORS US 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
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.
