Justin Ramirez CCO and Senior Counsel
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Articles
Recent activity by Justin Ramirez CCO and Senior Counsel-
APEX- Acceptance of Orders and Execution of Transactions
Acceptance of Orders and Execution of Transactions Orders received by your broker-dealer can be executed by your broker-dealer or forwarded to the Firm for execution.The party executing ...
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APEX Carrying Agreements Disclosure
Carrying Agreements Disclosure FINRA Rule 4311 The firm with which you have opened your securities account has retained Apex Clearing Corporation (“Apex”) to provide certain record keeping or opera...
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APEX - Customer Information Brochure
CUSTOMER INFORMATION BROCHURE This brochure has been prepared to explain some of the basic procedures for customers of an introducing brokerage firm using the facilities of Apex Clearing Corporat...
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APEX- Annual Disclosure Statement
APEX ANNUAL DISCLOSURE STATEMENT ANTI-MONEY LAUNDERING To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to ob...
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APEX- Business Continuity Plan Policy
APEX Clearing Business Continuity Plan Policy FINRA Rule 4370 As a fully disclosed and omnibus clearing firm, the Firm has developed a Disaster Recovery Plan to ensure business continuity. In the...
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DASTA Financial, LLC- Business Continuity Plan Policy ("BCP")
DASTA Financial, LLC (the “Firm”) Business Continuity Plan Policy FINRA Rule 4370 As an introducing broker-dealer, the Firm has developed a Business Continuity and Disaster Recovery Plan to ensure ...
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APEX- FDIC-INSURED SWEEP PROGRAM
APEX FDIC-INSURED SWEEP PROGRAM TERMS AND CONDITIONS You may elect to have dormant cash in your brokerage account at Apex Clearing Corporation (“Apex”) “swept” into and out of an interest-beari...
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APEX- SWEEP PROGRAM PARTICIPATING BANK LIST
APEX CLEARING FDIC-INSURED DEPOSIT SWEEP PROGRAM PARTICIPATING BANK LIST Participating Banks as of June 2, 2023 BNY Mellon, N.A. (as Intermediary Bank) L...
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DASTA Financial, LLC- APEX FDIC-Insured Sweep Program Consent Addendum
APEX FDIC- Insured Sweep Program Consent Addendum You consent to participate in Apex’s FDIC-Insured Sweep Program (the “Program”), and consent to Apex Clearing Corporation placing or investing (i...
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Portfolios Content Disclosure
Content provided to you about dub Portfolios is for informational purposes only, and is not intended as and may not be relied on in any manner as a recommendation or endorsement of any portfolio...