NR
Nick G. Rothgeb
APEX CLEARING
Austin, TX 78702
Some features on this profile are disabled
CRD#: 7385272
NR
Professional summary
Nick Glenn Rothgeb, who also goes by Nicholas Glenn Rothgeb, is a registered financial professional currently at APEX CLEARING CORPORATION located in Austin, Texas and APEX FINTECH BROKERAGE SERVICES located in Austin, Texas.
Nick is registered as a RR (Registered Representative) and started their career in finance in 2021. Nick has worked at 4 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Glenn Rothgeb
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.
CRS (Client Relationship Summary) - BD
Click below to view Nick Glenn Rothgeb's 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®
NoneExperience
Current
December 9, 2024 - Present
APEX CLEARING CORPORATION
Office #1: 2010 E. 6th St., Austin, TX 78702BD
CRD#: 13071
Austin, TX
Current
January 21, 2025 - Present
APEX FINTECH BROKERAGE SERVICES
Office #1: 2010 E 6th St., Austin, TX 78702BD
CRD#: 305818
Austin, TX
Past
April 28, 2022 - October 23, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Plano, TX
Past
July 10, 2021 - March 24, 2022
TD AMERITRADE, INC.
BD
CRD#: 7870
Southlake, TX
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/28/2025)
RR
Alaska(1/28/2025)
RR
Arizona(1/28/2025)
RR
Arkansas(1/28/2025)
RR
California(1/28/2025)
RR
Colorado(1/28/2025)
RR
Connecticut(1/28/2025)
RR
Delaware(1/28/2025)
RR
District of Columbia(1/28/2025)
RR
Florida(1/28/2025)
RR
Georgia(1/28/2025)
RR
Hawaii(1/28/2025)
RR
Idaho(1/28/2025)
RR
Illinois(1/28/2025)
RR
Indiana(1/28/2025)
RR
Iowa(1/28/2025)
RR
Kansas(1/28/2025)
RR
Kentucky(1/28/2025)
RR
Louisiana(1/28/2025)
RR
Maine(1/28/2025)
RR
Maryland(1/28/2025)
RR
Massachusetts(1/28/2025)
RR
Michigan(1/28/2025)
RR
Minnesota(1/28/2025)
RR
Mississippi(1/28/2025)
RR
Missouri(1/28/2025)
RR
Montana(1/28/2025)
RR
Nebraska(1/28/2025)
RR
Nevada(1/28/2025)
RR
New Hampshire(1/28/2025)
RR
New Jersey(1/28/2025)
RR
New Mexico(1/28/2025)
RR
New York(1/28/2025)
RR
North Carolina(1/28/2025)
RR
North Dakota(1/28/2025)
RR
Ohio(1/29/2025)
RR
Oklahoma(1/28/2025)
RR
Oregon(1/28/2025)
RR
Pennsylvania(1/28/2025)
RR
Puerto Rico(1/28/2025)
RR
Rhode Island(1/28/2025)
RR
South Carolina(1/28/2025)
RR
South Dakota(1/28/2025)
RR
Tennessee(1/28/2025)
RR
Texas(12/9/2024)
RR
Utah(1/28/2025)
RR
Vermont(1/28/2025)
RR
Virgin Islands(1/28/2025)
RR
Virginia(1/28/2025)
RR
Washington(1/28/2025)
RR
West Virginia(1/28/2025)
RR
Wisconsin(1/28/2025)
RR
Wyoming(1/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 7/9/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
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)
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.
