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John Michael Mollica

Apex Clearing Corp.

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About John Michael Mollica

John Michael Mollica is a financial professional with over 20 years of experience in the industry. John is currently registered with Apex Clearing Corp. and has held previous positions with CODA MARKETS, INC., Electronic Transaction Clearing, Inc., ConvergEx Execution Solutions LLC, Pershing LLC, and BNY Clearing Services LLC. John has passed a variety of industry exams, including the Series 7, Series 24, Series 52TO, and Series 63.

Firm Information

John Mollica 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 Mollica’s Registration & Firm History

TX

07/22/2016 - Present

Apex Clearing Corp. (DALLAS TX)

IL

11/04/2022 - 05/01/2024

CODA MARKETS, INC. (WILMETTE IL)

TX

10/09/2019 - 03/28/2024

ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)

NY

10/08/2013 - 05/13/2016

CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)

NJ

09/25/2003 - 10/07/2013

PERSHING LLC (JERSEY CITY NJ)

WI

05/28/2003 - 10/14/2003

BNY CLEARING SERVICES LLC (MILWAUKEE WI)

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Licenses & Designations

BC

Issued 07/29/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/31/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/2003

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 John Michael Mollica.
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