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John Stuart

Apex Clearing Corp.

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About John Stuart

John Stuart is a financial advisor with Apex Clearing Corp. John has been in the industry since January 18, 2019. John has worked at a number of firms including RIM Securities LLC, Mutual Securities, Inc. and Purshe Kaplan Sterling Investments. John is Series 7, Series 7TO and SIE licensed.

Firm Information

John Stuart 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 Stuart’s Registration & Firm History

TX

06/21/2024 - Present

Apex Clearing Corp. (DALLAS TX)

NY

08/08/2014 - 07/02/2015

RIM SECURITIES LLC (NEW YORK NY)

CA

03/08/2012 - 07/09/2014

MUTUAL SECURITIES, INC. (BEVERLY HILLS CA)

CA

05/21/2010 - 03/09/2012

PURSHE KAPLAN STERLING INVESTMENTS (BEVERLY HILLS CA)

CA

07/14/2009 - 12/01/2009

MORGAN STANLEY SMITH BARNEY (SAN DIEGO CA)

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Licenses & Designations

BC

Issued 06/20/2024

Series 7TO - General Securities Representative Examination

BC

Issued 09/30/2022

SIE - Securities Industry Essentials Examination

BC

Issued 07/13/2009

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 Stuart.
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