Audie G. Apple
Professional summary
Audie Gene Apple, who also goes by Audie Gene Apple Jr, Audie Gene Apple Jr., Audie Gene Apple, Audie Gene Jr Apple, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Westlake, Texas and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Audie is registered as a RR (Registered Representative) and started their career in finance in 1991. Audie has worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Audie Gene Apple's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2022 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: Two Destiny Way, Westlake, TX 76262December 20, 2024 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262November 16, 2017 - October 10, 2022
DWS DISTRIBUTORS, INC.
January 8, 2016 - November 16, 2017
DEUTSCHE BANK SECURITIES INC.
May 10, 2013 - December 23, 2013
TPB WEALTH ADVISORS, LLC
August 25, 2011 - March 7, 2013
BESSEMER INVESTOR SERVICES, INC.
May 1, 2008 - August 24, 2011
ALLIANCEBERNSTEIN L.P.
April 11, 2008 - August 24, 2011
SANFORD C. BERNSTEIN & CO., LLC
December 21, 2001 - May 6, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 16, 1998 - February 25, 2002
PRINCIPAL SECURITIES, INC.
June 18, 1997 - March 18, 1998
SANFORD C. BERNSTEIN & CO., INC.
April 8, 1991 - June 20, 1997
PRINCIPAL 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
(12/21/2022)
(12/21/2022)
(1/3/2023)
(12/21/2022)
(12/21/2022)
(12/21/2022)
(12/20/2022)
(12/22/2022)
(1/9/2023)
(5/16/2023)
(12/22/2022)
(12/21/2022)
(12/20/2022)
(12/21/2022)
(12/21/2022)
(12/22/2022)
(12/21/2022)
(12/21/2022)
(1/9/2023)
(12/21/2022)
(12/21/2022)
(12/20/2022)
(12/22/2022)
(12/21/2022)
(12/22/2022)
(12/20/2022)
(12/20/2022)
(12/20/2022)
(1/9/2023)
(12/22/2022)
(12/22/2022)
(12/21/2022)
(12/21/2022)
(12/20/2022)
(1/3/2023)
(12/20/2022)
(1/5/2023)
(12/20/2022)
(12/21/2022)
(12/21/2022)
(1/3/2023)
(1/10/2023)
(1/3/2023)
(12/21/2022)
(12/21/2022)
(12/21/2022)
(12/21/2022)
(1/2/2025)
(12/21/2022)
(12/21/2022)
(12/21/2022)
(12/20/2022)
(1/5/2023)
Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
