Branch offices
6 offices
FINRA: Medium firm
CRD #13071 · FINRA BrokerCheck + SEC IAPD
Apex Clearing Corporation
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Apex Clearing Corporation ranks #79 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #3 of 189 on the same disclosure sort used on the state browse page. Apex Clearing Corporation carries 57 BrokerCheck disclosures across 6 branch offices - heavy load for a small firm, earning a Grade F.
- Grade F
- Safety grade
- 6
- branch offices
- 57
- disclosures
- #79 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 13071 Apex Clearing Corporation
Apex Clearing Corporation · Grade F · 57 disc · 9.50/office · Small firm
- CRD 13071
- GRADE F
- DISC 57
- REG 49
- ARB 8
- CIV 0
- BRANCH 6
- PER-OFF 9.50
- RANK #79 of 20,055
- BOOK Small firm
Intensity peers
Nearest same-size peer: Virtu Americas LLC (9.38 disc/office)
Apex Clearing Corporation ranks #79 of 20,055 by disclosure count among graded broker-dealers; heavy load at 9.50 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
57 events
On FINRA BrokerCheck
Regulatory events
49 actions
86% of all disclosures
Disclosures per office
9.50 per office
57 ÷ 6 offices
Disclosure Intensity
Disclosures per branch office, the firm's disclosure load relative to its operating footprint.
Apex Clearing Corporation - disclosures per branch office 100.0%
Typical multi-office firm
Most multi-office firms sit below ~0.5 disclosures per branch; values above 1.0 are notably high for the footprint.
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 49 |
| Arbitrations | 8 |
| Civil Events | 0 |
| Total | 57 |
Counts for Apex Clearing Corporation reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 49 Arbitration 8 Civil 0
Firm Details
- Firm Size
- Medium
- Scope
- ACTIVE
- Location
- Dallas, TX, 75201
- Formed
- 12/22/1978
- State of Formation
- New York
- CRD Number
- 13071
- SEC Number
- 23522
Regulator-heavy mix
Apex Clearing Corporation in the heavier-disclosure third
Apex Clearing Corporation carries 57 BrokerCheck disclosures across 6 branch offices - a heavier-third raw book among graded firms (#79 of 20,055). Regulator-initiated events are 86% of the book (49 regulatory / 8 arbitration / 0 civil).
86% of Apex Clearing Corporation's 57 disclosures are regulator-initiated (49 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of Apex Clearing Corporation's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Texas cohort · 14× state average
Apex Clearing Corporation sits above the Texas disclosure average
Apex Clearing Corporation reports 57 BrokerCheck disclosures, 14× the Texas average of 4.0 across 189 graded firms with a principal-office state on file.
In Texas, 110 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.
Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Texas state book →
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Apex Clearing Corporation sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Apex Clearing Corporation ranks #79 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #3 of 189 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for Apex Clearing Corporation?
A grade of F reflects Apex Clearing Corporation's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 57 total disclosures across 6 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Apex Clearing Corporation have?
Apex Clearing Corporation has 57 total FINRA disclosures, including 49 regulatory events, 8 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Apex Clearing Corporation?
Apex Clearing Corporation operates 6 branch offices and is classified by FINRA as a medium firm, registered in TX (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Apex Clearing Corporation's disciplinary record?
You can verify Apex Clearing Corporation's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 13071. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Apex Clearing Corporation's 57 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Apex Clearing Corporation because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Apex Clearing Corporation carries 57 disclosures across 6 branch offices (about 9.50 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Nationwide peers by disclosures or branches
Two PlainAdvisorCheck-derived peer sets for Apex Clearing Corporation, both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).
Similar disclosure totals
Nearest cross-state graded firms by BrokerCheck disclosure count (57 here).
Similar branch footprint
Nearest cross-state graded firms by branch-office count (6 here).
Read with this firm
- Virtu Americas LLC (NY) - 9.38 disclosures/office, nearest small firm peer to Apex Clearing Corporation's 9.50
- Canaccord Genuity Wealth Management (USA) Inc. - 9.00 disclosures/office, nearest small firm peer to Apex Clearing Corporation's 9.50
- Casey Securities LLC (CA) - 10.00 disclosures/office, nearest small firm peer to Apex Clearing Corporation's 9.50
- Firms in TX - state roster that includes Apex Clearing Corporation's registration home.
- Red Flags in Advisor Records - How to read Apex Clearing Corporation's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 57 disclosures behind Apex Clearing Corporation's Grade F.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Apex Clearing Corporation.
- Compare firms - put Apex Clearing Corporation next to peers on grade and footprint.
Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.