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 |
| Dawn Tana Ficklin | 6566364 | 3 | 06/29/2021 | 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 |
| Anthony Edward Marchiny | 7290115 | 1 | 11/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsey Alan Wetzig | 4178111 | 1 | 05/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Patrick Cleary | 2280797 | 1 | 03/02/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |