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Joe Edward Torres

Apex Clearing Corp.

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About Joe Edward Torres

Joe Edward Torres has been working in the financial services industry since 1986. Joe currently works at Apex Clearing Corp. and is licensed to conduct business in the United States. Joe has successfully passed Series 6, 7, 63, 99 and SIE exams.

Firm Information

Joe Torres 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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Joe Torres’s Registration & Firm History

TX

06/14/2012 - Present

Apex Clearing Corp. (DALLAS TX)

TX

05/23/2012 - 08/01/2012

PENSON FINANCIAL SERVICES, INC. (DALLAS TX)

RI

07/31/1987 - 04/15/1999

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

NA

10/07/1986 - 12/16/1986

FIDELITY DISTRIBUTORS CORPORATION

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Licenses & Designations

BC

Issued 09/05/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/06/2018

Series 7 - General Securities Representative Examination

BC

Issued 05/22/2012

Series 99 - Operations Professional Examination

BC

Issued 10/06/1986

Series 6 - Investment Company Products/Variable Contracts 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 are no public disclosures for Joe Edward Torres.
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