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Dorian Leyva

Apex Clearing Corp.

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About Dorian Leyva

Dorian Leyva is a financial professional registered in Texas with Apex Clearing Corp., a broker-dealer. Dorian has been working in the financial industry since August 1, 2017. Dorian holds Series 7, 63, 24, 4 and SIE licenses. Prior to working at Apex Clearing Corp., Dorian worked at Robinhood Financial, LLC and Vanguard Marketing Corporation.

Firm Information

Dorian Leyva 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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Dorian Leyva’s Registration & Firm History

TX

12/12/2022 - Present

Apex Clearing Corp. (DALLAS TX)

TX

02/23/2021 - 12/16/2022

ROBINHOOD FINANCIAL, LLC (Westlake TX)

AZ

08/02/2017 - 02/22/2021

VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)

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Licenses & Designations

BC

Issued 08/16/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/19/2024

Series 24 - General Securities Principal Examination

BC

Issued 07/19/2022

Series 4 - Registered Options Principal Examination

BC

Issued 06/09/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/02/2017

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 Dorian Leyva.
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