MO
Michael L. Oxley
APEX CLEARING
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4768393
MO
Professional summary
Michael Lloyd Oxley is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas and APEX FINTECH BROKERAGE SERVICES located in Dallas, Texas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Michael Lloyd Oxley'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
June 11, 2012 - Present
APEX CLEARING CORPORATION
Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201BD
CRD#: 13071
Dallas, TX
Current
December 13, 2024 - Present
APEX FINTECH BROKERAGE SERVICES
Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201BD
CRD#: 305818
Dallas, TX
Past
December 8, 2022 - May 1, 2024
CODA MARKETS, INC.
BD
CRD#: 36187
WILMETTE, IL
Past
June 4, 2021 - March 28, 2024
ELECTRONIC TRANSACTION CLEARING, INC.
BD
CRD#: 146122
Dallas, TX
Past
April 16, 2007 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
BD
CRD#: 25866
DALLAS, TX
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(4/29/2015)
RR
Alaska(4/29/2015)
RR
Arizona(4/27/2015)
RR
Arkansas(5/12/2015)
RR
California(4/29/2015)
RR
Colorado(2/4/2015)
RR
Connecticut(2/4/2015)
RR
Delaware(4/30/2015)
RR
District of Columbia(2/4/2015)
RR
Florida(2/4/2015)
RR
Georgia(9/17/2015)
RR
Hawaii(5/7/2015)
RR
Idaho(2/4/2015)
RR
Illinois(2/4/2015)
RR
Indiana(5/18/2015)
RR
Iowa(9/17/2015)
RR
Kansas(5/8/2015)
RR
Kentucky(9/17/2015)
RR
Louisiana(2/4/2015)
RR
Maine(2/5/2015)
RR
Maryland(2/4/2015)
RR
Massachusetts(5/12/2015)
RR
Michigan(9/17/2015)
RR
Minnesota(9/17/2015)
RR
Mississippi(9/17/2015)
RR
Missouri(2/9/2015)
RR
Montana(9/17/2015)
RR
Nebraska(9/17/2015)
RR
Nevada(9/17/2015)
RR
New Hampshire(9/17/2015)
RR
New Jersey(2/4/2015)
RR
New Mexico(9/17/2015)
RR
New York(9/17/2015)
RR
North Carolina(9/17/2015)
RR
North Dakota(9/17/2015)
RR
Ohio(2/4/2015)
RR
Oklahoma(9/17/2015)
RR
Oregon(9/17/2015)
RR
Pennsylvania(9/17/2015)
RR
Puerto Rico(2/4/2015)
RR
Rhode Island(9/17/2015)
RR
South Carolina(9/17/2015)
RR
South Dakota(9/17/2015)
RR
Texas(4/17/2015)
RR
Utah(9/17/2015)
RR
Vermont(2/4/2015)
RR
Virgin Islands(5/27/2016)
RR
Virginia(9/17/2015)
RR
Washington(9/17/2015)
RR
West Virginia(9/17/2015)
RR
Wisconsin(9/17/2015)
RR
Wyoming(9/17/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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)
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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
# of Employees
FINRA licenses (53 States and Territories)
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 FINTECH BROKERAGE SERVICES
CRD#: 305818Dallas, TX 75201TRUST BUT VERIFY
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