Cary H. 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.
Cary Harris Appel was a registered financial professional .
Cary is a previously registered financial professional and started their career in finance in 1988. Cary had worked at 19 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2019 - February 7, 2020
ZEUS FINANCIAL, LLC
January 31, 2014 - March 3, 2016
COHEN & COMPANY SECURITIES, LLC
November 17, 2004 - January 31, 2014
JVB FINANCIAL GROUP, LLC
January 29, 2004 - January 13, 2005
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
April 10, 2003 - February 12, 2004
JVB FINANCIAL GROUP, LLC
October 11, 2001 - April 14, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
April 30, 1999 - August 16, 2000
FIRST BROKERS SECURITIES LLC
July 1, 1998 - February 6, 1999
COWEN AND COMPANY
June 30, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
August 5, 1997 - May 28, 1998
MCFADDEN, FARRELL & SMITH, L.P.
June 2, 1997 - July 17, 1997
DOLEY SECURITIES, LLC.
June 3, 1996 - January 21, 1997
STORMHARBOUR SECURITIES LP
December 23, 1993 - December 13, 1995
ARBOR CAPITAL PARTNERS, INC
May 11, 1993 - December 6, 1993
BARCLAY INVESTMENTS LLC
November 8, 1991 - July 27, 1992
INTERCAPITAL GOVERNMENT SECURITIES INC.
November 8, 1991 - August 27, 1992
EXCO RMJ INTERNATIONAL INC.
October 15, 1990 - October 11, 1991
CANTOR FITZGERALD SECURITIES
March 10, 1989 - November 4, 1989
INTERCAPITAL SECURITIES LLC
March 10, 1989 - November 4, 1989
ICAP SECURITIES USA LLC
May 24, 1988 - November 4, 1988
TP ICAP GLOBAL MARKETS AMERICAS LLC
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 62
Date: 6/27/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
ZEUS FINANCIAL, LLC
CRD#: 18192 / SEC#: , 8-36214
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BUTKEVITS, LETICIA VERA | MEMBER | 6717105 |
| ORCHID BAY FINANCIAL HOLDINGS, LLC | MEMBER | |
| ACHILLE, RALPH | CCO | 5875142 |
| BUTKEVITS, VINCENT WILLIAM III | CEO | 1818987 |
| KUMAR, PARDEEP | MANAGING DIRECTOR | 5214503 |
| PISCATELLI, DAVID ANTHONY | COO | 4027320 |
| SHUMBERG, IVANA MARCELLA | FINOP/PFO | 3167225 |
| TROUSDALE, LAUREN NICOLE | FINOP/POO | 5622407 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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