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Brian Jay Seiter

Apex Clearing Corp.

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About Brian Jay Seiter

Brian Seiter is a financial advisor with over 20 years of experience in the securities industry. Brian currently works at Apex Clearing Corp. and has been with the firm since 2017. Previously, Brian has worked for firms such as Goldman Sachs & Co. LLC, Goldman Sachs Execution & Clearing, L.P. and First Options of Chicago, Inc. Brian holds a Series 7, Series 24, Series 4, Series 55, Series 57TO, and Series 63 licenses. Brian is licensed in Texas.

Firm Information

Brian Seiter 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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Brian Seiter’s Registration & Firm History

TX

08/18/2017 - Present

Apex Clearing Corp. (DALLAS TX)

IL

11/04/2015 - 06/19/2017

GOLDMAN SACHS & CO. LLC (CHICAGO IL)

IL

12/07/2000 - 01/03/2017

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (CHICAGO IL)

IL

05/15/2000 - 06/25/2004

FIRST OPTIONS OF CHICAGO, INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 10/02/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/14/2010

Series 24 - General Securities Principal Examination

BC

Issued 07/15/2003

Series 4 - Registered Options Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/04/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/12/2000

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

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 Brian Jay Seiter.
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