Richard Joseph Wall

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

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RICHARDSON, TX · CRD#

EDWARD JONES

GRAPEVINE, TX · CRD#

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Dallas, TX · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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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

14 years registered in the securities industry

Current & Past Employments

Current

APEX CLEARING CORPORATIONCurrent·CRD# 13071

BD

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

August 6, 2012 - Present

Past

ELECTRONIC TRANSACTION CLEARING, INC.Past·CRD# 146122

BD

Dallas, TX

June 11, 2020 - November 3, 2022

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Customer Relationship Summary (CRS / FINRA)

Current Firm

AC

APEX CLEARING CORPORATION

CRD#: 13071 / SEC#: 8-23522

BD

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

Name	Position	CRD#
APEX FINTECH SOLUTIONS INC.	SHAREHOLDER	—
BRENNAN, WILLIAM ROBERT	CHIEF COMPLIANCE OFFICER	2447538
CAPUZZI, WILLIAM WALTER	CHIEF EXECUTIVE OFFICER	4323894
COUGHLIN, CONNOR DANIEL	CHIEF CUSTOMER OFFICER/ CHIEF OPERATIONS OFFICER	6665836
DUCKWORTH, PAUL D	FINOP, PRINCIPAL FINANCIAL OFFICER	3202937

Disclosures

Regulatory Event

50

Arbitration

8

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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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Texas
(10/2/2017)

Exams

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

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Joseph Wall's CRS (Customer Relationship Summary).

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