Michael D. Appleton
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.
Michael Dennis Appleton was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 10 firms and has passed the Series 65, 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
July 26, 2011 - August 7, 2015
PALISADE CAPITAL MANAGEMENT, LP
April 20, 2000 - August 10, 2007
REICH & TANG DISTRIBUTORS, INC.
March 18, 1998 - January 13, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 18, 1994 - February 11, 1998
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 14, 1992 - September 23, 1994
FORESIDE INVESTMENT SERVICES, LLC
March 26, 1992 - September 23, 1994
CITI DISTRIBUTION SERVICES, INC.
May 30, 1991 - September 23, 1994
FS FUNDS DISTRIBUTOR, INC.
April 25, 1991 - September 23, 1994
PACIFICA FUNDS DISTRIBUTOR, INC.
July 12, 1989 - September 23, 1994
ABN AMRO SECURITIES LLC
January 21, 1987 - December 16, 1988
CONTINENTAL EQUITIES CORPORATION OF AMERICA
Primary Firm SEC Registration
PALISADE CAPITAL MANAGEMENT, LP
CRD#: 104581 / SEC#: 801-48401
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
PALISADE CAPITAL MANAGEMENT, LP
CRD#: 104581 / SEC#: 801-48401
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,412 |
| AUM (Assets Under Management) | $ 4,225,941,279 |
Red Flags
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