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Tim Scot Yoshikawa

Apex Clearing Corp.

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About Tim Scot Yoshikawa

Tim Yoshikawa is a registered representative with Apex Clearing Corp., holding a Series 7, Series 24, Series 99TO, and Series 63 license. Tim has a background in the financial services industry, with previous roles at Altruist Financial LLC, Apex Clearing Corporation, TradeStation Securities, Inc., and Penson Financial Services, Inc. Tim has been active in the industry since 2004, working primarily in the Texas and California regions.

Firm Information

Tim Yoshikawa 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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Tim Yoshikawa’s Registration & Firm History

TX

08/21/2024 - Present

Apex Clearing Corp. (DALLAS TX)

CA

04/28/2022 - 07/26/2024

ALTRUIST FINANCIAL LLC (CULVER CITY CA)

TX

01/21/2021 - 03/31/2022

APEX CLEARING CORPORATION (DALLAS TX)

FL

11/18/2011 - 01/19/2021

TRADESTATION SECURITIES, INC. (PLANTATION FL)

TX

12/21/2009 - 11/17/2011

PENSON FINANCIAL SERVICES, INC. (DALLAS TX)

TX

04/15/2004 - 12/20/2007

PENSON FINANCIAL SERVICES, INC. (DALLAS TX)

CA

09/08/2000 - 03/26/2002

NEXA SECURITIES (PASADENA CA)

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Licenses & Designations

BC

Issued 09/15/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/07/2000

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 Tim Scot Yoshikawa.
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