Beverley A. Hope
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.
Beverley Anne Hope, who also goes by Beverley Anne Reader, was a registered financial professional .
Beverley is a previously registered financial professional and started their career in finance in 2013. Beverley had worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7TO, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2024 - March 11, 2026
APEX CLEARING CORPORATION
July 5, 2022 - February 2, 2023
KESTRA INVESTMENT SERVICES, LLC
March 14, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
October 11, 2016 - March 9, 2018
SCOTTRADE, INC.
June 6, 2014 - May 31, 2016
OPTIONSXPRESS, INC.
October 15, 2013 - June 4, 2014
CHARLES SCHWAB & CO., 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
Series 99TO
Date: 10/30/2024
Operations Professional ExaminationSeries 7TO
Date: 7/1/2022
General Securities Representative ExaminationCurrent 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.
