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William Walter Capuzzi

Apex Clearing Corp.

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About William Walter Capuzzi

William Walter Capuzzi is a financial advisor with over 20 years of experience in the industry. William is currently registered with Apex Clearing Corp. and has previously held positions with Electronic Transaction Clearing, Inc., ConvergEx Execution Solutions LLC, G-Trade Services LLC, BNY ConvergEx Execution Solutions LLC and Pershing LLC. William is licensed in all 50 states and holds several professional licenses and designations, including Series 3, 7, 24, 57TO, and 63 licenses. William Walter Capuzzi specializes in a variety of financial services, including securities trading, investment advice, and retirement planning.

Firm Information

William Capuzzi 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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William Capuzzi’s Registration & Firm History

TX

11/09/2015 - Present

Apex Clearing Corp. (DALLAS TX)

TX

09/26/2019 - 01/05/2021

ELECTRONIC TRANSACTION CLEARING, INC. (DALLAS TX)

NY

01/26/2015 - 11/12/2015

CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)

NY

11/20/2006 - 04/01/2015

G-TRADE SERVICES LLC (NEW YORK NY)

NY

12/08/2006 - 08/08/2008

BNY CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)

NY

01/12/2001 - 11/20/2006

PERSHING LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/24/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/01/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/23/2017

Series 3 - National Commodity Futures Examination

BC

Issued 01/11/2001

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 is public disclosure for William Walter Capuzzi. Review regulatory record here.
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