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Keith Michael Seager

Apex Clearing Corp.

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About Keith Michael Seager

Keith Michael Seager is a financial professional with over 20 years of experience in the industry. Keith Michael Seager has held positions at several firms, including Penson Financial Services, Inc., Ridge Clearing & Outsourcing Solutions, Inc., and Banc of America Securities LLC. Keith Michael Seager is currently registered with Apex Clearing Corp. in Texas and New York. Keith Michael Seager holds Series 7, Series 63, Series 99TO and SIE licenses.

Firm Information

Keith Seager 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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Keith Seager’s Registration & Firm History

TX

06/14/2012 - Present

Apex Clearing Corp. (DALLAS TX)

TX

07/02/2010 - 08/01/2012

PENSON FINANCIAL SERVICES, INC. (DALLAS TX)

NJ

10/28/2004 - 07/01/2010

RIDGE CLEARING & OUTSOURCING SOLUTIONS, INC. (JERSEY CITY NJ)

NY

06/17/2002 - 11/01/2004

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/03/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/14/2002

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

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 Keith Michael Seager.
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