Carl D. Apple

APPLE & COMPANY

Nashville, TN

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CRD#: 1050406

Professional summary

Carl David Apple, CFP® is a registered financial advisor currently at APPLE & COMPANY, INC. located in Nashville, Tennessee and ARETE WEALTH MANAGEMENT, LLC located in Nashville, Tennessee.

Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Carl has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) START DATE 01/1999 I DEVOTE 140 HRS/MO (3 HRS DURING TRADING) AS PRESIDENT/CIO/CCO OF APPLE & COMPANY, INC. MY DUTIES TO THIS INDEPENDENT RIA INCLUDE ACTING AS PRESIDENT, CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER AND MEETING WITH CLIENTS TO DETERMINE THEIR INVESTMENT NEEDS. (2) START DATE 09/1982 I DEVOTE 1 HR/MO (NONE DURING TRADING) AS INSURANCE AGENT FOR APPLE & COMPANY. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE SERVISING EXISTING TERM POLICIES. BUSINESS ADDRESS FOR BOTH OF ABOVE IS THE SAME BRANCH ADDRESS. Apple and Company, Inc. dba

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl David Apple's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

December 19, 2006 - Present

APPLE & COMPANY, INC.

RIA

CRD#: 142298

Nashville, TN

Current

February 1, 2024 - Present

ARETE WEALTH MANAGEMENT, LLC

CRD#: 44856

Nashville, TN

Past

July 15, 2011 - February 9, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

NASHVILLE, TN

Past

October 17, 2006 - November 17, 2006

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

NASHVILLE, TN

Past

July 8, 2005 - July 15, 2011

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

NASHVILLE, TN

Past

October 1, 2003 - July 8, 2005

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

May 29, 2003 - October 2, 2003

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

July 6, 1992 - May 30, 2003

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

February 28, 1990 - July 6, 1992

KAVANAUGH SECURITIES, INC.

CRD#: 10606

DALLAS, TX

Past

November 24, 1989 - December 8, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 19, 1989 - March 7, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

August 26, 1982 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/1/2024)

Indiana
(2/1/2024)

Kansas
(2/1/2024)

Kentucky
(2/1/2024)

Oregon
(2/1/2024)

IAR

Tennessee
(12/19/2006)

Tennessee
(2/1/2024)

IAR

Texas
(5/6/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/12/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

APPLE & COMPANY, INC.

CRD#: 142298 / SEC#:

Georgia

Registered Investment Advisory firm - (12/19/2017 Terminated)

Tennessee

Registered Investment Advisory firm - (12/19/2006 Approved)

Texas

Registered Investment Advisory firm - (5/6/2014 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Nashville, TN

Mailing Address

Po Box158549, Nashville, TN 37215

Phone number

(615) 256-3807

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 54,828,761

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Carl D. Apple

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl David Apple's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARETE WEALTH MANAGEMENT, LLC

CROWN CAPITAL SECURITIES, L.P.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

GROVE POINT INVESTMENTS, LLC

VSR FINANCIAL SERVICES, INC.

COMMONWEALTH FINANCIAL NETWORK

KAVANAUGH SECURITIES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2006

Series 63

Date: 8/26/1982

SIE

Date: 10/1/2018

Series 31

Date: 3/12/2004

Series 7

Date: 8/21/1982

Series 24

Date: 3/8/1989

FINRA

Current Firm

APPLE & COMPANY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

APPLE & COMPANY, INC.

TRUST BUT VERIFY

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