Michael Oxley

Michael Oxley has a diverse work experience in the financial services industry. Michael served as the Deputy Chief Compliance Officer at Apex Clearing Corporation since April 2021. Prior to that, they held various roles at the company including Director of Client Services and Director of Apex Direct Brokerage for Prime Broker/Hedge Fund and RIA Business Lines. Their responsibilities included managing teams, improving processes, and working with clients to enhance performance reporting. Before joining Apex Clearing Corporation, Michael worked at Penson Financial Services as the Director of Operations - Margin, Risk, and Cashiering. In this role, they served as a subject matter expert for regulatory changes, managed margin calls, and oversaw portfolio margin and JBO accounts.

Michael Oxley completed their education in the following chronological order:

- From 1999 to 2003, they attended Mays Business School at Texas A&M University, where they obtained a Bachelor's Degree in Finance.

- During the same period, from 1999 to 2004, they also earned a Bachelor of Science (BS) degree in Finance, General, from Mays Business School at Texas A&M University.

- Later, from 2009 to 2011, they pursued an MBA (Master of Business Administration) with a specialization in Accounting from the Naveen Jindal School of Management at UT Dallas.

- Simultaneously, from 2009 to 2011, they also completed an MS (Master of Science) degree with a concentration in Finance from the Naveen Jindal School of Management at UT Dallas.

In addition to their education, Michael Oxley earned several certifications in the financial industry:

- In April 2007, they obtained the Series 7 - General Securities Representative certification from the Financial Industry Regulatory Authority (FINRA).

- In December 2008, they achieved the Series 24 - General Securities Principal certification from FINRA.

- In August 2010, they obtained the Series 27 - Financial & Operations Principal certification from FINRA.

- In August 2012, they earned the Series 4 - Registered Options Principal certification from FINRA.

- Finally, in September 2015, they obtained the Series 63 - Uniform Securities Agent certification from FINRA.