John A. Appleby
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Addison Appleby, CFA was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 6 firms and has passed the Series 65, Series 63, Series 2 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2021 - October 1, 2025
SORTINO INVESTMENT ANALYTICS
December 18, 2019 - March 31, 2025
BALBOA WEALTH PARTNERS, INC.
October 5, 2018 - December 23, 2019
INVEST CAPITAL PARTNERS
March 29, 2016 - September 26, 2018
BALBOA WEALTH PARTNERS, INC.
January 31, 2014 - December 31, 2014
ROCKWOOD INVESTMENT COUNSEL, LLC
January 24, 1984 - August 26, 1986
CITIGROUP GLOBAL MARKETS INC.
October 20, 1982 - January 23, 1984
MORGAN STANLEY DW 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
Exams
Series 2
Date: 10/4/1994
Non-Member General Securities ExaminationCurrent Firm
SORTINO INVESTMENT ANALYTICS
CRD#: 287491 / SEC#:
Contact information
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.
