Scott W. Appleby
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.
Scott William Appleby, who also goes by Scott W Appleby, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1994. Scott had worked at 8 firms and has passed the Series 63, Series 82TO, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2019 - August 13, 2025
LONG NECK SERVICES LLC
September 11, 2009 - August 15, 2017
RG KNOX COMPANY, LLC
May 15, 2006 - July 17, 2007
DEUTSCHE BANK SECURITIES INC.
October 14, 2005 - May 2, 2006
W.R. HAMBRECHT + CO., LLC
July 31, 1999 - May 9, 2001
ROBERTSON STEPHENS, INC.
October 20, 1995 - May 13, 1999
ABN AMRO INCORPORATED
March 21, 1995 - November 7, 1995
ALFRED BERG, INC.
September 26, 1994 - April 5, 1995
UBS FINANCIAL SERVICES 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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
LONG NECK SERVICES LLC
CRD#: 297317 / SEC#: , 8-70143
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHLIM, JOSEPH ALEXANDER | MEMBER, CCO, FINOP, CFO, EXEC REP | 2502404 |
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.
