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Jon Michael Gillen

Apex Clearing Corp.

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About Jon Michael Gillen

Jon Gillen is a financial professional with over 10 years of experience in the industry. Jon has a strong background in securities trading and has held positions with Cowen Execution Services LLC, G-Trade Services LLC, and Electronic Transaction Clearing, INC. Jon is currently a registered representative with Apex Clearing Corp., a leading provider of clearing and custody services for financial institutions. Jon is committed to providing his clients with the highest level of service and expertise.

Firm Information

Jon Gillen 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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Jon Gillen’s Registration & Firm History

TX

10/20/2021 - Present

Apex Clearing Corp. (DALLAS TX)

TX

11/21/2022 - 03/28/2024

ELECTRONIC TRANSACTION CLEARING, INC. (Dallas TX)

FL

06/10/2011 - 07/24/2018

COWEN EXECUTION SERVICES LLC (Orlando FL)

NY

07/25/2014 - 04/01/2015

G-TRADE SERVICES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/13/2012

Series 27 - Financial and Operations Principal Examination

BC

Issued 07/24/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/09/2011

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 is public disclosure for Jon Michael Gillen. Review regulatory record here.
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