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John Difalco

Apex Clearing Corp.

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About John Difalco

John Difalco is a securities professional registered with Apex Clearing Corp. John obtained his Series 99TO and SIE licenses in 2023. John's current employment is with Apex Clearing Corp.

Firm Information

John Difalco 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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John Difalco’s Registration & Firm History

TX

04/03/2023 - Present

Apex Clearing Corp. (DALLAS TX)

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Licenses & Designations

BC

Issued 04/03/2023

Series 99TO - Operations Professional Examination

BC

Issued 09/27/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Difalco.
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