Our Staff has compiled our research into a database of FINRA Broker Disclosures for Apex Clearing Corporation. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Dawn Tana Ficklin | 6566364 | 3 | 09/03/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gabriel Benjamin Davis | 3239322 | 1 | 08/19/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| William Walter Capuzzi | 4323894 | 1 | 07/14/2021 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Daisy Wall | 6703225 | 2 | 07/14/2021 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Dawn Tana Ficklin | 6566364 | 3 | 06/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Bona Kelton | 6014853 | 2 | 02/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Bona Kelton | 6014853 | 2 | 01/01/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Adrian Kolman | 5184721 | 6 | 08/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Christopher Holmes | 5624718 | 1 | 11/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Michael Reilly | 4950533 | 1 | 04/27/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |