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James Wang

Apex Clearing Corp.

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About James Wang

James Wang is a financial advisor with over 20 years of experience in the industry. James Wang is currently registered with Apex Clearing Corp. in Texas. Previously, James Wang was employed at Charles Schwab & Co., Inc. in Westlake, TX, TD Ameritrade, Inc. in Fort Worth, TX, TD Ameritrade Clearing, Inc. in Fort Worth, TX, and TD Waterhouse Investor Services, Inc. in Omaha, NE. James Wang holds several industry licenses including Series 7, Series 9, Series 10, and Series 63.

Firm Information

James Wang 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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James Wang’s Registration & Firm History

TX

03/22/2024 - Present

Apex Clearing Corp. (DALLAS TX)

TX

03/30/2023 - 01/10/2024

CHARLES SCHWAB & CO., INC. (Westlake TX)

TX

10/04/2001 - 12/20/2023

TD AMERITRADE, INC. (FORT WORTH TX)

TX

10/03/2012 - 12/05/2013

TD AMERITRADE CLEARING, INC. (FORT WORTH TX)

NE

01/28/2000 - 06/05/2001

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 06/18/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/05/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/11/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/27/2000

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 James Wang.
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