Ross B. Appleman
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.
Ross Barry Appleman, who also goes by Ross Brry Appleman, was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1985. Ross had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2002 - November 5, 2002
GUNNALLEN FINANCIAL, INC
May 14, 2001 - May 23, 2002
WINCHESTER INVESTMENT SECURITIES, INC.
May 8, 1997 - March 28, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 23, 1995 - May 19, 1997
EARLYBIRDCAPITAL, INC.
August 10, 1993 - January 3, 1995
LAFFER, WARREN AND CO., INC.
August 11, 1992 - July 12, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 21, 1990 - July 20, 1992
CITIGROUP GLOBAL MARKETS INC.
November 25, 1985 - February 16, 1990
LEHMAN BROTHERS 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
