Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Joseph Wall is a financial advisor in Dallas, Texas. Richard has been working in the financial industry since 2012 and currently works at Apex Clearing Corp. Richard holds a Series 7, 99, 24 and 63 license. Richard is registered with the state of Texas. Richard previously worked at ELECTRONIC TRANSACTION CLEARING, INC.
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.
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.
1
2
TX
08/06/2012 - Present
Apex Clearing Corp. (DALLAS TX)
TX
06/11/2020 - 11/03/2022
ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)
BC
Issued 10/02/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2016
Series 7 - General Securities Representative Examination
BC
Issued 08/03/2012
Series 99 - Operations Professional Examination
Active
Inactive
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
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