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FIRM PROFILE
Overview
APEX CLEARING CORPORATION is located at One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201 and was first established at Dallas, New York in 12/22/1978. After operating for 47 years, APEX CLEARING CORPORATION has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of APEX CLEARING CORPORATION’s clients are individuals and 0% of their clients are high net worth individuals. APEX CLEARING CORPORATION has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at APEX CLEARING CORPORATION are registered to handle securities or provide financial advice. The firm has 56 disclosures, 48 being regulatory events, 0 being client events, and 8 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access APEX CLEARING CORPORATION‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at APEX CLEARING CORPORATION. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for APEX CLEARING CORPORATION Comes From
Understanding the Statistics for APEX CLEARING CORPORATION and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
One Dallas Center 350 N. St. Paul, Suite 1300, Dallas, TX 75201
Medium
(214) 765-1100
New York since 12/22/1978
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at APEX CLEARING CORPORATION
Mario Henrique Sousa De Andrade
Luther Gillespie
Jon Michael Gillen
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