Olivia T. Eisinger
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.
Olivia Tromm Eisinger, who also goes by Olivia Tromm Eisinger, Olivia Eisinger, Olivia Rose Tromm, Olivia Tromm, was a registered financial professional .
Olivia is a previously registered financial professional and started their career in finance in 2012. Olivia had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2020 - July 30, 2026
APEX CLEARING CORPORATION
October 31, 2014 - October 22, 2020
TD AMERITRADE, INC.
October 30, 2014 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 29, 2014 - October 22, 2020
TD AMERITRADE, INC.
April 11, 2014 - October 21, 2014
EQUITABLE ADVISORS, LLC
April 9, 2014 - October 21, 2014
EQUITABLE ADVISORS, LLC
June 5, 2012 - December 23, 2013
TD AMERITRADE, INC.
January 23, 2012 - December 23, 2013
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
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 | 49 |
| 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.
