James B. Stearns
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.
James Baird Stearns, who also goes by James Baird Stearns Jr, Jim Stearns, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 15, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2024 - May 3, 2024
APEX CLEARING CORPORATION
May 11, 2009 - May 1, 2024
CODA MARKETS, INC.
June 20, 2007 - August 27, 2007
LABRANCHE STRUCTURED PRODUCTS DIRECT
November 30, 2004 - August 27, 2007
LABRANCHE STRUCTURED PRODUCTS SPECIALISTS LLC
February 17, 2004 - August 27, 2007
TD ARRANGED SERVICES LLC
October 7, 1998 - May 7, 2002
SUSQUEHANNA FINANCIAL GROUP, LLLP
August 25, 1987 - November 26, 1990
UBS FINANCIAL SERVICES INC.
September 2, 1983 - May 8, 1986
PHILIPS, APPEL & WALDEN, INC.
July 20, 1981 - August 24, 1983
FIRST JERSEY SECURITIES, 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: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 9/24/1987
Foreign Currency Options 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 | 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
