Howard M. Appel
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.
Howard Miller Appel was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1984. Howard had worked at 5 firms and has passed the Series 63, Series 7, Series 22, Series 53, Series 4, Series 24, Series 27 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 1990 - February 25, 1991
FINANCIAL EQUITIES RESOURCES, INC.
March 3, 1989 - September 6, 1989
TAG WEALTH MANAGEMENT, LLC
January 3, 1985 - March 5, 1990
BAILEY, MARTIN & APPEL, INC.
November 29, 1984 - January 27, 1986
BARTEL SECURITIES, INC.
August 21, 1984 - March 29, 1985
EQUITY SEARCH SECURITIES, 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
Current Firm
FINANCIAL EQUITIES RESOURCES, INC.
CRD#: 13810 / SEC#: , 8-29942
Contact information
Documents
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.
