WC
William W. Capuzzi
APEX CLEARING
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4323894
WC
Professional summary
William Walter Capuzzi, who also goes by William W. Capuzzi, is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas.
William is registered as a RR (Registered Representative) and started their career in finance in 2001. William has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
William W. Capuzzi
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view William Walter Capuzzi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 9, 2015 - Present
APEX CLEARING CORPORATION
Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201BD
CRD#: 13071
Dallas, TX
Past
September 26, 2019 - January 5, 2021
ELECTRONIC TRANSACTION CLEARING, INC.
BD
CRD#: 146122
DALLAS, TX
Past
January 26, 2015 - November 12, 2015
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
December 8, 2006 - August 8, 2008
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
NEW YORK, NY
Past
November 20, 2006 - April 1, 2015
G-TRADE SERVICES LLC
BD
CRD#: 140314
NEW YORK, NY
Past
January 12, 2001 - November 20, 2006
PERSHING LLC
BD
CRD#: 7560
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/9/2015)
RR
Alaska(11/9/2015)
RR
Arizona(11/9/2015)
RR
Arkansas(11/9/2015)
RR
California(11/9/2015)
RR
Colorado(11/9/2015)
RR
Connecticut(11/9/2015)
RR
Delaware(11/9/2015)
RR
District of Columbia(11/9/2015)
RR
Florida(11/9/2015)
RR
Georgia(11/9/2015)
RR
Hawaii(11/9/2015)
RR
Idaho(11/9/2015)
RR
Illinois(11/9/2015)
RR
Indiana(11/9/2015)
RR
Iowa(11/9/2015)
RR
Kansas(11/9/2015)
RR
Kentucky(11/9/2015)
RR
Louisiana(11/9/2015)
RR
Maine(11/9/2015)
RR
Maryland(11/9/2015)
RR
Massachusetts(11/9/2015)
RR
Michigan(11/9/2015)
RR
Minnesota(11/9/2015)
RR
Mississippi(11/9/2015)
RR
Missouri(11/9/2015)
RR
Montana(11/9/2015)
RR
Nebraska(11/9/2015)
RR
Nevada(11/9/2015)
RR
New Hampshire(11/9/2015)
RR
New Jersey(11/9/2015)
RR
New Mexico(11/9/2015)
RR
New York(11/9/2015)
RR
North Carolina(11/9/2015)
RR
North Dakota(11/9/2015)
RR
Ohio(11/9/2015)
RR
Oklahoma(11/9/2015)
RR
Oregon(11/9/2015)
RR
Pennsylvania(11/9/2015)
RR
Puerto Rico(11/9/2015)
RR
Rhode Island(11/9/2015)
RR
South Carolina(11/9/2015)
RR
South Dakota(11/9/2015)
RR
Texas(11/9/2015)
RR
Utah(11/9/2015)
RR
Vermont(11/9/2015)
RR
Virginia(11/9/2015)
RR
Washington(11/9/2015)
RR
West Virginia(11/9/2015)
RR
Wisconsin(11/9/2015)
RR
Wyoming(11/9/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
AC
APEX CLEARING CORPORATION
ADP CLEARING & OUTSOURCING SERVICES, INC. | U.S. CLEARING CORP. | RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. | Q & R CLEARING CORPORATION | FLEET SECURITIES, INC. | APEX CLEARING CORPORATION
CRD#: 13071 / SEC#: , 8-23522
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Mailing Address
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Phone number
(214) 765-1100
Established
New York since 12/22/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
Company Information
APEX CLEARING CORPORATION
CRD#: 13071Dallas, TX 75201TRUST BUT VERIFY
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