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Alex Haynes

Apex Clearing Corp.

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About Alex Haynes

Alex Haynes is a financial professional with over two years of experience in the financial services industry. Alex is currently registered with Apex Clearing Corp. and is licensed in Illinois and Texas. Alex has passed the Series 4, Series 7, Series 24, and Series 66 exams. Previously, Alex was registered with Lincoln Financial Advisors Corporation in Plano, Texas.

Firm Information

Alex Haynes is currently registered with Apex Clearing Corp.. Apex Clearing Corp. is a corporation formed in December 1978. The firm is registered in 53 states and the District of Columbia and has 1 approved SEC registration. Apex Clearing Corp. has been subject to 47 regulatory events and 8 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

126

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alex Haynes’s Registration & Firm History

TX

07/06/2023 - Present

Apex Clearing Corp. (Austin TX)

TX

12/01/2021 - 06/07/2023

LINCOLN FINANCIAL ADVISORS CORPORATION (PLANO TX)

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Licenses & Designations

BOTH

Issued 02/22/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/12/2024

Series 4 - Registered Options Principal Examination

BC

Issued 03/18/2024

Series 24 - General Securities Principal Examination

BC

Issued 12/01/2021

Series 7TO - General Securities Representative Examination

BC

Issued 09/07/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alex Haynes.
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