Benjamin J. Allen
Professional summary
Benjamin Joseph Allen, who also goes by Benjamin Joseph Allen, Benjamin Allen, Ben Allen, is a registered financial professional currently at APEX CLEARING CORPORATION located in Austin, Texas.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2022. Benjamin has worked at 6 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Joseph Allen's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 16, 2026 - Present
APEX CLEARING CORPORATION
Office #1: 2010 E. 6th St., Austin, TX 78702January 30, 2025 - January 29, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2025 - January 29, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2024 - January 23, 2025
INNOVATION PARTNERS LLC
April 19, 2024 - April 30, 2024
CATALYST WEALTH MANAGEMENT LLC
December 12, 2022 - November 11, 2024
GWN SECURITIES INC.
July 28, 2022 - July 28, 2022
EQUITABLE ADVISORS, LLC
July 27, 2022 - November 11, 2024
GWN SECURITIES INC.
March 29, 2022 - July 28, 2022
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/16/2026)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 3/29/2022
General Securities Representative ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Texas Stock Exchange LLC
Current 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
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Company Information
APEX CLEARING CORPORATION
CRD#: 13071Austin, TX 78702TRUST BUT VERIFY
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