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Patricia Mary Neil

Apex Clearing Corp.

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About Patricia Mary Neil

Patricia Mary Neil is a financial advisor registered with Apex Clearing Corp. in New York, NY. Patricia has over 23 years of experience in the financial services industry. She holds Series 7, 63, SIE, and 99TO licenses and is registered in the state of New York. Patricia has previously worked at Electronic Transaction Clearing, Inc., E*TRADE SECURITIES LLC, E*TRADE CLEARING LLC, MORGAN STANLEY & CO. INCORPORATED, and MORGAN STANLEY DW INC..

Firm Information

Patricia Neil 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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Patricia Neil’s Registration & Firm History

NY

06/02/2022 - Present

Apex Clearing Corp. (New York NY)

NY

06/02/2022 - 03/16/2023

ELECTRONIC TRANSACTION CLEARING, INC. (New York NY)

NJ

09/30/2016 - 10/27/2020

E*TRADE SECURITIES LLC (Jersey City NJ)

NJ

06/15/2010 - 09/30/2016

E*TRADE CLEARING LLC (Jersey City NJ)

NY

04/02/2007 - 03/27/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

02/21/1997 - 04/02/2007

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 04/04/1997

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 02/20/1997

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 Patricia Mary Neil.
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