X-17A-5: Submission Information

Report for the Period Beginning

01-01-2017

and Ending

12-31-2017

Type of Registrant

Broker-dealer

Security-based swap dealer

Major security-based swap participant

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses?

Yes

X-17A-5: A. Registrant Identification

Name of Firm

APEX CLEARING CORPORATION

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1

ONE DALLAS CENTER

Address 2

350 N. ST. PAUL, SUITE 1300

City

DALLAS

State/Country

TEXAS

Mailing Zip/ Portal Code

75201

Name and Telephone Number of Person to Contact in Regard to this Report

Name

Ralph D'Auge

Telephone Number

214-765-1132

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name

Ernst & Young, LLP

Address 1

155 North Wacker Drive

City

Chicago

State/Country

ILLINOIS

Mailing Zip/ Postal Code

60606

Check One

Certified Public Accountant
Radio button not checked

Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Ralph D'Agee, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of APEX CLEARING CORPORATION, as of 12-31-2017, is true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:

Peter Lawler Daniel Rosenthal William Brennan William Capuzzi

Signature

Ralph D'Auge

Title

Corporate Controller

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.

X-17A-5: Filer Information

Submission Contact Information