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Daisy Wall

Apex Clearing Corp.

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About Daisy Wall

Daisy Wall is a registered representative with Apex Clearing Corp. Daisy has been in the industry since June 27, 2017 and holds the Securities Industry Essentials (SIE) and Series 99 examinations. Daisy is currently registered with Financial Industry Regulatory Authority (FINRA) and has been with Apex Clearing Corp. since February 28, 2019.

Firm Information

Daisy Wall 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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Daisy Wall’s Registration & Firm History

TX

02/28/2019 - Present

Apex Clearing Corp. (DALLAS TX)

TX

11/15/2016 - 07/17/2018

APEX CLEARING CORPORATION (DALLAS TX)

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Licenses & Designations

BC

Issued 07/17/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/15/2016

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Daisy Wall. Review regulatory record here.
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