David A. Appell
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.
David Aaron Appell, who also goes by David Appell, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 6 firms and has passed the Series 63, Series 7, Series 3, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 1999 - December 20, 2000
THE REGENCY GROUP, INC.
May 5, 1999 - June 21, 1999
MULTI SPECTRUM INVESTING CORPORATION
March 2, 1999 - May 6, 1999
MERCURY EQUITY GROUP, LLC
January 31, 1997 - March 17, 1999
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
April 10, 1996 - January 15, 1997
R.D. WHITE & CO., INC.
March 5, 1996 - March 25, 1996
STRATEGIC RISK MANAGEMENT, 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
THE REGENCY GROUP, INC.
CRD#: 45216 / SEC#: , 8-50995
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REGENCY HOLDING GROUP, INC. | OWNER | |
| APPELL, DAVID AARON | PRESIDENT, CEO, SROP, CROP, MANAGING DIRECTOR | |
| GRANT, KEITH RAYIGNATIUS | CFO, COO | 2747595 |
| GRILLAS, NICHOLAS DEMETRIOS | DIRECTOR OF COMPLIANCE | 2545323 |
| MAIORANO, DOMINICK ROBERT | HEAD TRADER, ROP, GOV'T SECURITIES PRINCIPAL | |
| SWICKLE, ADAM BRUCE | MANAGING DIRECTOR-SALES, SECRETARY |
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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