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Brandon Christopher Holmes

Apex Clearing Corp.

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About Brandon Christopher Holmes

Brandon Christopher Holmes is a financial professional with over 10 years of experience in the industry. Brandon is currently registered with Apex Clearing Corp. in Texas. Prior to this, Brandon worked at TD Ameritrade Clearing, Inc. and TD Ameritrade, Inc. in Texas. Brandon has a wide range of experience in the financial services industry, including working with Goldman, Sachs & Co. in New York and Ameriprise Financial Services, Inc. in Utah.

Firm Information

Brandon Holmes 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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Brandon Holmes’s Registration & Firm History

TX

04/02/2019 - Present

Apex Clearing Corp. (DALLAS TX)

TX

06/19/2018 - 03/18/2019

TD AMERITRADE CLEARING, INC. (Southlake TX)

TX

08/22/2016 - 03/18/2019

TD AMERITRADE, INC. (Southlake TX)

NY

09/25/2014 - 06/29/2016

GOLDMAN, SACHS & CO. (NEW YORK NY)

UT

03/24/2010 - 09/05/2014

AMERIPRISE FINANCIAL SERVICES, INC. (MIDVALE UT)

TX

02/11/2009 - 03/22/2010

TD AMERITRADE, INC. (FORT WORTH TX)

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Licenses & Designations

BOTH

Issued 05/15/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/24/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/07/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/09/2009

Series 7 - General Securities Representative 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

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 is public disclosure for Brandon Christopher Holmes. Review regulatory record here.
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