James H. Applegate

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CRD#: 1521967

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.

James Harold Applegate, CFP®, who also goes by Jim Applegate, Jimmy Applegate, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Applegate | Jimmy Applegate

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Start date: 1990

Experience

Past

October 25, 2010 - July 1, 2021

FSA WEALTH PARTNERS

RIA

CRD#: 104513

FORT MYERS, FL

Past

July 31, 2002 - November 10, 2010

APPLEGATE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 132510

FORT MYERS, FL

Past

July 7, 1994 - June 23, 2000

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

November 23, 1993 - August 2, 1994

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 4, 1991 - December 14, 1993

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

April 17, 1991 - November 19, 1991

VISION INVESTMENT GROUP, INC.

CRD#: 28135

Past

March 24, 1988 - June 10, 1991

HDA SERVICE CORPORATION

CRD#: 6145

LITTLE SWITZERLAND, NC

Past

June 25, 1986 - August 27, 1986

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FSA WEALTH PARTNERS

FINANCIAL SERVICES ADVISORY | FSA WEALTH PARTNERS, INC. | FSA WEALTH PARTNERS | FSA | FINANCIAL SERVICES ADVISORY INC

CRD#: 104513 / SEC#: 801-18801

RIA

Registered Investment Advisory firm - (4/21/1983 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 7/29/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

Current Firm

FSA WEALTH PARTNERS

FINANCIAL SERVICES ADVISORY | FSA WEALTH PARTNERS, INC. | FSA WEALTH PARTNERS | FSA | FINANCIAL SERVICES ADVISORY INC

CRD#: 104513 / SEC#: 801-18801

RIA

Registered Investment Advisory firm - (4/21/1983 Approved)

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Contact information

Main Address

One Church Street Suite 901, Rockville, MD 20850

Mailing Address

Phone number

(301) 949-7300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FSA DISCLOSURE BROCHURE (4/29/2025)

Regulatory assets under management

Total Number of Accounts	1,964
AUM (Assets Under Management)	$ 770,176,152

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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Advisor Monitoring

Firm Stability Insights

James H. Applegate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APPLEGATE INVESTMENT MANAGEMENT, LLC

SECURITIES SERVICE NETWORK, LLC

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

VISION INVESTMENT GROUP, INC.

HDA SERVICE CORPORATION

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

FSA WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/1986

Series 7

Date: 6/21/1986

Current Firm

FSA WEALTH PARTNERS

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FSA WEALTH PARTNERS

TRUST BUT VERIFY

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