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JC

John R. Cozza

APEX CLEARING
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 6327866
JC

Professional summary

John Robert Cozza is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas and APEX FINTECH BROKERAGE SERVICES located in Dallas, Texas.

John is registered as a RR (Registered Representative) and started their career in finance in 2015. John has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Robert Cozza's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 21, 2019 - Present

APEX CLEARING CORPORATION

Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201
BD
CRD#: 13071
Dallas, TX
Current

May 14, 2025 - Present

APEX FINTECH BROKERAGE SERVICES

Office #1: 350 N. St. Paul Street Suite 1300, Dallas, TX 75201
BD
CRD#: 305818
Dallas, TX
Past

September 25, 2015 - September 1, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WELLESLEY HILLS, MA
Past

September 25, 2015 - September 1, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
WELLESLEY HILLS, MA
Past

May 20, 2015 - September 14, 2015

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
WALTHAM, MA
Past

February 20, 2015 - September 14, 2015

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/6/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/2015
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINTRON, INC.SHAREHOLDER
DUCKWORTH, PAUL DFINOP, PRINCIPAL FINANCIAL OFFICER3202937
LOUIS-CHARLES, FRITZCEO, COO, PRINCIPAL OPERATIONS OFFICER3232698
OXLEY, MICHAEL LLOYDCCO4768393

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 75201

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