Common Questions from Retail Investors:
- Who is Apex and why would I be receiving something from you?
- Apex Clearing Corporation (Apex), a subsidiary of Apex Fintech Solutions, is a FINRA registered Broker/Dealer and provides custody and clearing services to the financial services industry. Our clients are brokerage firms and other financial services companies that provide access to the financial markets and conduct investment account transactions and other services for their clients, retail investors like yourself. If you’re receiving information from us, it means you likely have a brokerage account with one of our clients. Should you have any questions about the documents you receive, please reach out to your financial services provider.
- Apex Clearing Corporation (Apex), a subsidiary of Apex Fintech Solutions, is a FINRA registered Broker/Dealer and provides custody and clearing services to the financial services industry. Our clients are brokerage firms and other financial services companies that provide access to the financial markets and conduct investment account transactions and other services for their clients, retail investors like yourself. If you’re receiving information from us, it means you likely have a brokerage account with one of our clients. Should you have any questions about the documents you receive, please reach out to your financial services provider.
- I saw Apex conducted a financial transaction on my behalf (took money out of or put money into my bank account). Why did this happen?
- Apex helps facilitate money movements associated with various asset servicing items, including but not limited to ACH account funding, wire requests, dividends payments, and more. If you have concerns about potential fraudulent activity on your account, please reach out to your financial services provider.
- Apex helps facilitate money movements associated with various asset servicing items, including but not limited to ACH account funding, wire requests, dividends payments, and more. If you have concerns about potential fraudulent activity on your account, please reach out to your financial services provider.
- I have an investment account and I need support help, such as changing my password, updating my personal information, changing my address, account support for a deceased individual, child support requests, etc. How can I get help?
- For any request regarding your brokerage account please reach out to your financial services provider directly.
- For any request regarding your brokerage account please reach out to your financial services provider directly.
- I received a tax mailing (tax letter or tax form) from Apex and I have questions or concerns that need to be addressed.
- Apex does not provide tax advice to investors. Please reach out to your tax professional or financial services provider directly.
- Apex does not provide tax advice to investors. Please reach out to your tax professional or financial services provider directly.
- I received a change of address mailing from Apex. Why did I receive this?
- We work with our clients, such as your financial services provider to alert retail investors when address changes or account information updates are necessary to comply with regulatory obligations. Please follow the instructions on the notice, and contact the financial services provider that maintains your brokerage account directly for any follow-up questions.
- We work with our clients, such as your financial services provider to alert retail investors when address changes or account information updates are necessary to comply with regulatory obligations. Please follow the instructions on the notice, and contact the financial services provider that maintains your brokerage account directly for any follow-up questions.
For all other inquiries, please fill out the form and a member of our team will reach out as soon as possible.
