Tawa N. Torry
Professional summary
Tawa Nicodemus Torry, who also goes by Tawa N Torry, Tawa Nicodemus Torry, Tawa Torry, is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas.
Tawa is registered as a RR (Registered Representative) and started their career in finance in 2008. Tawa has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tawa Nicodemus Torry's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 28, 2020 - Present
APEX CLEARING CORPORATION
Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201October 25, 2019 - August 26, 2020
AVANTAX ADVISORY SERVICES
October 25, 2019 - August 26, 2020
AVANTAX INVESTMENT SERVICES, INC.
October 23, 2017 - October 25, 2019
1ST GLOBAL ADVISORS INC
October 23, 2017 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
October 4, 2016 - October 2, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 4, 2016 - October 2, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 24, 2015 - September 27, 2016
J.P. MORGAN SECURITIES LLC
December 24, 2015 - September 27, 2016
J.P. MORGAN SECURITIES LLC
June 29, 2012 - November 16, 2015
STRATEGIC ADVISERS LLC
June 11, 2012 - November 13, 2015
FIDELITY BROKERAGE SERVICES LLC
October 7, 2009 - May 17, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 1, 2008 - September 9, 2009
TD AMERITRADE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/28/2020)
Exams
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
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.
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Company Information
APEX CLEARING CORPORATION
CRD#: 13071Dallas, TX 75201TRUST BUT VERIFY
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