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Rafael M Ferreira

Apex Clearing Corp.

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About Rafael M Ferreira

Rafael Ferreira is a financial professional with over 10 years of experience in the financial services industry. Rafael holds a Series 7TO, Series 99, and SIE license and a Series 24 General Securities Principal license. Rafael is currently registered with Apex Clearing Corp. and previously worked at Electronic Transaction Clearing, Inc. and Penson Financial Services, Inc.

Firm Information

Rafael Ferreira 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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Rafael Ferreira’s Registration & Firm History

TX

06/14/2012 - Present

Apex Clearing Corp. (DALLAS TX)

TX

04/28/2020 - 11/03/2022

ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)

TX

06/07/2012 - 08/01/2012

PENSON FINANCIAL SERVICES, INC. (DALLAS TX)

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Licenses & Designations

BC

Issued 07/01/2019

Series 24 - General Securities Principal Examination

BC

Issued 04/16/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/06/2012

Series 99 - Operations Professional 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 Rafael M Ferreira.
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