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Sheila Lynn Buchwald

Apex Clearing Corp.

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About Sheila Lynn Buchwald

Sheila Lynn Buchwald is a financial advisor with over 25 years of experience in the industry. She is currently registered with Apex Clearing Corp. Prior to that, Sheila was registered with Electronic Transaction Clearing, Inc., J.P. Morgan Clearing Corp., J.P.Morgan Securities Inc., Cruttenden Roth Incorporated, Eверен Securities, Inc., and Paine Webber Incorporated. Sheila holds the Series 63, Series 8, SIE, and Series 7 licenses. She is currently registered in Texas.

Firm Information

Sheila Buchwald 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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Sheila Buchwald’s Registration & Firm History

TX

08/11/2016 - Present

Apex Clearing Corp. (DALLAS TX)

TX

06/04/2021 - 03/16/2023

ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)

CA

11/19/1999 - 05/01/2015

J.P. MORGAN CLEARING CORP. (SAN FRANCISCO CA)

CA

11/19/1999 - 12/31/2008

J.P.MORGAN SECURITIES INC. (SAN FRANCISCO CA)

CA

05/05/1997 - 10/14/1999

CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)

MO

02/09/1996 - 04/16/1997

EVEREN SECURITIES, INC. (ST. LOUIS MO)

NJ

05/09/1995 - 02/06/1996

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 07/07/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/08/1995

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 Sheila Lynn Buchwald.
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