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EF

Emily R. Frey

APEX CLEARING
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 7420870
EF

Professional summary

Emily Rose Frey is a registered financial professional currently at APEX CLEARING CORPORATION located in Dallas, Texas.

Emily is registered as a RR (Registered Representative) and started their career in finance in 2023. Emily has worked at 2 firms and has passed the Series 99TO and SIE 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 Emily Rose Frey'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

January 1, 2023 - Present

APEX CLEARING CORPORATION

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

August 16, 2023 - May 1, 2024

CODA MARKETS, INC.

BD
CRD#: 36187
WILMETTE, IL

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

General Industry/Product Exam
RR
Series 99TO
Date: 12/30/2022
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AC
APEX CLEARING CORPORATION
ADP CLEARING & OUTSOURCING SERVICES, INC. | U.S. CLEARING CORP. | RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. | Q & R CLEARING CORPORATION | FLEET SECURITIES, INC. | APEX CLEARING CORPORATION

CRD#: 13071 / SEC#: , 8-23522

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Mailing Address
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Phone number
(214) 765-1100
Established
New York since 12/22/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# 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#
APEX FINTECH SOLUTIONS INC.SHAREHOLDER
CAPUZZI, WILLIAM WALTERCHIEF EXECUTIVE OFFICER4323894
COUGHLIN, CONNOR DANIELCHIEF CUSTOMER OFFICER6665836
DUCKWORTH, PAUL DFINOP, PRINCIPAL FINANCIAL OFFICER3202937
LOUIS-CHARLES, FRITZCHIEF OPERATIONS OFFICER (INCLUDES PRINCIPAL OPERATIONS OFFICER ROLE)3232698
RAY, TERRY DAVIDCHIEF REVENUE OFFICER5295510
TOURNEY, ROBERT ANDREWCHIEF COMPLIANCE OFFICER6251742

Disclosures

Regulatory Event48
Arbitration8

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

APEX CLEARING CORPORATION

CRD#: 13071Dallas, TX 75201

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