Lawrence J. Appel
Professional summary
Lawrence Joseph Appel is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1982. Lawrence has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Joseph Appel's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2000 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207December 22, 1997 - March 28, 2000
BRILL SECURITIES, INC.
August 12, 1993 - May 27, 1998
MARSH, BLOCK & CO. INC.
July 20, 1989 - September 13, 1991
GLOBAL PARTNERS SECURITIES INC.
April 25, 1984 - December 20, 1988
EQUITABLE SECURITIES OF NEW YORK,INC.
March 1, 1982 - May 2, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/15/2001)
(6/25/2001)
(3/30/2000)
(12/12/2011)
(10/10/2012)
(10/7/2005)
(3/30/2000)
(3/30/2000)
Exams
FINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747Albany, NY 12207TRUST BUT VERIFY
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