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JA

James D. Appelt

INDEPENDENT FINANCIAL PARTNERS
Clearwater, FL 33765
Some features on this profile are disabled
CRD#: 2794592
JA

Professional summary

James Donald Appelt JR, who also goes by James Appelt, is a registered financial advisor currently at INDEPENDENT FINANCIAL PARTNERS located in Clearwater, Florida and IFP SECURITIES, LLC located in Clearwater, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Appelt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) 11/25/2009: Appelt & Associates, CPAs - CPA/Bookkeeper/Tax Preparer - Time Spent 80% - President - CPA firm that provides tax preparation and accounting services to individual and business clients. (2) 3/18/2011: Integrated Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA (3) 3/29/2011: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 5% - As a licensed insurance agent these products are sold in appropriate circumstances to meet client needs -Fixed annuities and term insurance. (4) 6/6/2014: JDA Properties, LLC - Investment Related - At Reported Business Location(s) - Real Estate Rental - Started 07/01/1996 - 0 Hours Per Month - rent income. (5) 6/6/2014: James D Appelt, P.A. - Investment Related - 1811 N Belcher Rd Suite I-2, Clearwater, FL 33765 - Tax Prep/Accounting/CPA - Started 07/01/2000 - 10 Hours Per Month/5 Hours During Securities Trading - President; there are no employees, I am paid a management fee each year from my CPA practice, Appelt & Associates, CPAs. (6) ACTS CPAS & ADVISORS, PLLC - not investment related - 1811 N Belcher Road Suite I-2, Clearwater, FL 33765 - tax services - owner - start date 1/1/2024 - 160 hours/month - 160 hours/month during trading - manage firm and client services primarily tax related services

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Donald Appelt JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 14, 2008 - Present

INDEPENDENT FINANCIAL PARTNERS

Office #1: 1811 North Belcher Rd Suite 1-3, Clearwater, FL 33765
RIA
CRD#: 125112
Clearwater, FL
Current

May 22, 2019 - Present

IFP SECURITIES, LLC

Office #1: 1811 North Belcher Rd Suite 1-3, Clearwater, FL 33765
BD
CRD#: 297287
Clearwater, FL
Past

June 26, 2013 - January 28, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
TAMPA, FL
Past

March 4, 2011 - February 10, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
TAMPA, FL
Past

September 8, 2009 - May 23, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
TAMPA, FL
Past

February 15, 2006 - September 8, 2009

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
TAMPA, FL
Past

October 31, 2005 - December 31, 2005

OSAIC SERVICES, INC.

BD
CRD#: 133763
CLEARWATER, FL
Past

March 23, 2005 - December 12, 2007

KOLLER WEALTH MANAGEMENT INC.

RIA
CRD#: 142258
CLEARWATER, FL
Past

January 15, 1998 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
INDEPENDENT FINANCIAL PARTNERS
3 PEAKS FINANCIAL | FIRST FINANCIAL OF CITRUS COUNTY | FIRST FEDERAL | FIORI FINANCIAL GROUP | FINSPIRE, LLC | FINANCIAL STRATEGIES GROUP | FINANCIAL RESOURCE CENTER | FINANCIAL PRESCRIPTIONS | FINANCIAL PLANNING & CONSULTING, LLC | FINANCIAL PARTNERS | FINANCIAL MANAGEMENT STRATEGIES | FIDELIS FIDUCIARY MANAGEMENT | FHD FINANCIAL | FARHAT FINANCIAL SERVICES | FAMILY WEALTH PLANNING PARTNERS | FAMILY RESIDENCE AND ESSENTILA ENTERPRISES | FAGO WEALTH MANAGEMENT | F4 WEALTH ADVISORS | EXEUNT, LLC | EXECUTAX FINANCIAL | EVS FINANCIAL | ERINE S TOLENTINO | EQUITY, INC. | EQUITY WEALTH MANAGEMENT | ENGLUND & LINDSTEADT FINANCIAL ADVISORS | ELLIS-SUMMER GROUP | EDD HOLDER & ASSOCIATES | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DTY WEALTH PLANNING SOLUTIONS | DT MOREHEAD, INC. | DIVORCE DIRECTION | DIVIDENT WEALTH MANAGEMENT | DIVDEND WEALTH MANAGEMENT | DIRECTIONAL INVESTMENTS | DILL FINANCIAL SERVICES | DICKMAN FINANCIAL SERVICES | DEW FINANCIAL MANAGEMENT GROUP | DEPTOLA | DELOIA WEALTH MANAGEMENT INC. | DELGADO WEALTH MANAGEMENT | DELANEY FINANCIAL GROUP | DELANCEY WEALTH MANAGEMENT, LLC | DEHAAN WEALTH MANAGEMENT | DCS RETIREMENT CONSULTANTS | DCS PENSIONMARK | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DAVIS ADVANTAGE WEALTH MANAGEMENT | DARPEL, DICKMAN & HARRIGAN WEALTH MANAGEMENT | DARPEL WEALTH MANAGEMENT | DAN T. PEACOCK & ASSOCIATES | D. MARTINI AND ASSOCIATES, INC. | CYPRESS CAPITAL | CYCAP, LLC | CUMMINGS CAPITAL MANAGEMENT | CT FINANCIAL INC | CS HUDGENS CAPITAL MANAGEMENT | COVENANT WEALTH MANAGEMENT | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORNERSTONE RETIREMENT ADVISORS, LLC | CORNERSTONE LEGACY WEALTH MANAGEMENT | CONNORS WEALTH MANAGEMENT | COLTON SMITH, LLC | COLLABORATIVE FINANCIAL SOLUTIONS, LLC | COGENT WEALTH MANAGEMENT, LLC | CLEARPOINT FINANCIAL | CLEAR FINANCIAL STRATEGIES | CLEAR ADVICE FINANCIAL | CHEPENIK FINANCIAL | CHANDLER O'REAR & ASSOCIATES | CHAMPION WEALTH MANAGEMENT | CERTA FINANCIAL PLANNING | CENTERPOINTE WEALTH MANAGEMENT | CDS WEALTH MANAGEMENT, INC. | CDS WEALTH MANAGEMENT | CBB FINANCIAL, INC. | CASTRINOS FINANCIAL | CASTNER JOSEPHS RETIREMENT GROUP INC | CASTERLIN & YOST FINANCIAL SERVICE GROUP | CAPITAL RETIREMENT GROUP | CAPITAL CONCLUSIONS CORPORATION | CAPITAL CONCLUSION CORPORATION | CANOPY ASSET MANAGEMENT | CANARY WEALTH STRATEGIES | CAMERON FINANCIAL MANAGEMENT | CALLESEN WEALTH MANAGEMENT | CALLAHAN WEALTH MANAGEMENT | CADEN CAPITAL | BUILDING FINANCIAL STRENGTH | BUELOW FINANCIAL GROUP | BRYSON WEALTH MANAGEMENT | BRYSON FINANCIAL | BROWNING AGENCY OF PONTE VEDRA, INC. | BROWN SERVICES GROUP | BROWN INVESTMENTS | BRIGHTON WEALTH MANAGEMENT | BRANDENBURG FINANCIAL | BOSCH FINANCIAL | BLUEROCK INVESTMENT SERVICES | BLUEPRINT WEALTH MANAGEMENT | BLUEPRINT RETIREMENT | BLUEPRINT FINANCIAL CORPORATION | BJORK ASSET MANAGEMENT | BJORK ASSET MANAGEMENT, INC. | BIG ROCK WEALTH MANAGEMENT | BENEFITS MATRIX, LLC | BENEDICT WEALTH ADVISORY GROUP, LLC | BELL WEALTH MANAGEMENT | BCG TERMINAL FUDNING CO. | BCG PENSIONMARK | BAY AREA WEALTH MANAGEMENT | BARNES CAPITAL GROUP | BARNES & COMPANY INVESTMENT COUNSEL | BANDCO TEVIS INVESTMENT STRATEGIES | BALANCED ASSET STRATEGIES, LTD. | BALANCED ASSET STRATEGIES | B GREEN WEALTH MANAGEMENT | AXIOS ADVISORY GROUP LTD | AWA INVESTMENT ADVISORS | AVILA INVESTMENTS & INSURANCE GROUP | AVENUE WEALTH MANAGEMENT | AUDET WEALTH ADVISORS | AUDET INVESTMENT MANAGEMENT, INC. | ATLANTIC CAPITAL ADVISORS | ATHANASSIE CAPITAL PARTNERS | ASSURE FINANCIAL SERVIXES, LLC | ASSURE FINANCIAL SERVICES, LLC | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARENA & BROWN RETIREMENT CONSULTANTS | ANTONETTI CAPITAL MANAGEMENT | ANCHOR WEALTH MANAGEMENT | AMERITRUST CAPITAL MANAGEMENT | AMELIA WEALTH MANAGEMENT | ALL BENEFITS CONSULTING CORP. | ALFORD-JUNGERS FINANCIAL | AFG, LLC | ADVOCATE CONSULTING GROUP | ADVANTAGE BENEFIT SERVICE | ADVANCED STRATEGIES GROUP, LLC | ACUMEN WEALTH ADVISORS | ACUMEN CAPITAL GROUP | ACCORDANCE PRIVATE WEALTH MANAGEMENT | 7620 DIXIE HIGHWAY, LLC | 401K PLAN PROFESSIONALS | 401K MATRIX | 401K ADVISORS, LLC | 401K ADVISORS INTERMOUNTAIN | 360 WEALTH MANAGEMENT...

CRD#: 125112 / SEC#: 801-69511

RIA
Registered Investment Advisory firm - (9/19/2008 Approved)
Florida
Registered Investment Advisory firm - (9/26/2008 Terminated)
Georgia
Registered Investment Advisory firm - (9/26/2008 Terminated)
New York
Registered Investment Advisory firm - (1/10/2005 Cancelled)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(7/3/2019)
IAR
Colorado
(10/21/2024)
IAR
Florida
(11/14/2008)
RR
Florida
(5/22/2019)
IAR
Minnesota
(3/4/2022)
IAR
New Jersey
(1/3/2018)
RR
New Jersey
(7/3/2019)
RR
New York
(7/3/2019)
IAR
New York
(2/18/2022)
IAR
North Carolina
(1/3/2018)
RR
North Carolina
(7/3/2019)
RR
South Carolina
(7/3/2019)
IAR
South Carolina
(12/2/2024)
RR
Texas
(7/3/2019)
IAR
Texas
(2/11/2022)
IAR
Wisconsin
(1/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2011
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/6/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/14/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
INDEPENDENT FINANCIAL PARTNERS
3 PEAKS FINANCIAL | FIRST FINANCIAL OF CITRUS COUNTY | FIRST FEDERAL | FIORI FINANCIAL GROUP | FINSPIRE, LLC | FINANCIAL STRATEGIES GROUP | FINANCIAL RESOURCE CENTER | FINANCIAL PRESCRIPTIONS | FINANCIAL PLANNING & CONSULTING, LLC | FINANCIAL PARTNERS | FINANCIAL MANAGEMENT STRATEGIES | FIDELIS FIDUCIARY MANAGEMENT | FHD FINANCIAL | FARHAT FINANCIAL SERVICES | FAMILY WEALTH PLANNING PARTNERS | FAMILY RESIDENCE AND ESSENTILA ENTERPRISES | FAGO WEALTH MANAGEMENT | F4 WEALTH ADVISORS | EXEUNT, LLC | EXECUTAX FINANCIAL | EVS FINANCIAL | ERINE S TOLENTINO | EQUITY, INC. | EQUITY WEALTH MANAGEMENT | ENGLUND & LINDSTEADT FINANCIAL ADVISORS | ELLIS-SUMMER GROUP | EDD HOLDER & ASSOCIATES | EBERST WEALTH MANAGEMENT | E2E FINANCIAL | DTY WEALTH PLANNING SOLUTIONS | DT MOREHEAD, INC. | DIVORCE DIRECTION | DIVIDENT WEALTH MANAGEMENT | DIVDEND WEALTH MANAGEMENT | DIRECTIONAL INVESTMENTS | DILL FINANCIAL SERVICES | DICKMAN FINANCIAL SERVICES | DEW FINANCIAL MANAGEMENT GROUP | DEPTOLA | DELOIA WEALTH MANAGEMENT INC. | DELGADO WEALTH MANAGEMENT | DELANEY FINANCIAL GROUP | DELANCEY WEALTH MANAGEMENT, LLC | DEHAAN WEALTH MANAGEMENT | DCS RETIREMENT CONSULTANTS | DCS PENSIONMARK | DAWES WEALTH MANAGEMENT | DAVIS FINANCIAL | DAVIS ADVANTAGE WEALTH MANAGEMENT | DARPEL, DICKMAN & HARRIGAN WEALTH MANAGEMENT | DARPEL WEALTH MANAGEMENT | DAN T. PEACOCK & ASSOCIATES | D. MARTINI AND ASSOCIATES, INC. | CYPRESS CAPITAL | CYCAP, LLC | CUMMINGS CAPITAL MANAGEMENT | CT FINANCIAL INC | CS HUDGENS CAPITAL MANAGEMENT | COVENANT WEALTH MANAGEMENT | COTTON WEALTH MANAGEMENT ASSOCIATES, LLC | CORNERSTONE RETIREMENT ADVISORS, LLC | CORNERSTONE LEGACY WEALTH MANAGEMENT | CONNORS WEALTH MANAGEMENT | COLTON SMITH, LLC | COLLABORATIVE FINANCIAL SOLUTIONS, LLC | COGENT WEALTH MANAGEMENT, LLC | CLEARPOINT FINANCIAL | CLEAR FINANCIAL STRATEGIES | CLEAR ADVICE FINANCIAL | CHEPENIK FINANCIAL | CHANDLER O'REAR & ASSOCIATES | CHAMPION WEALTH MANAGEMENT | CERTA FINANCIAL PLANNING | CENTERPOINTE WEALTH MANAGEMENT | CDS WEALTH MANAGEMENT, INC. | CDS WEALTH MANAGEMENT | CBB FINANCIAL, INC. | CASTRINOS FINANCIAL | CASTNER JOSEPHS RETIREMENT GROUP INC | CASTERLIN & YOST FINANCIAL SERVICE GROUP | CAPITAL RETIREMENT GROUP | CAPITAL CONCLUSIONS CORPORATION | CAPITAL CONCLUSION CORPORATION | CANOPY ASSET MANAGEMENT | CANARY WEALTH STRATEGIES | CAMERON FINANCIAL MANAGEMENT | CALLESEN WEALTH MANAGEMENT | CALLAHAN WEALTH MANAGEMENT | CADEN CAPITAL | BUILDING FINANCIAL STRENGTH | BUELOW FINANCIAL GROUP | BRYSON WEALTH MANAGEMENT | BRYSON FINANCIAL | BROWNING AGENCY OF PONTE VEDRA, INC. | BROWN SERVICES GROUP | BROWN INVESTMENTS | BRIGHTON WEALTH MANAGEMENT | BRANDENBURG FINANCIAL | BOSCH FINANCIAL | BLUEROCK INVESTMENT SERVICES | BLUEPRINT WEALTH MANAGEMENT | BLUEPRINT RETIREMENT | BLUEPRINT FINANCIAL CORPORATION | BJORK ASSET MANAGEMENT | BJORK ASSET MANAGEMENT, INC. | BIG ROCK WEALTH MANAGEMENT | BENEFITS MATRIX, LLC | BENEDICT WEALTH ADVISORY GROUP, LLC | BELL WEALTH MANAGEMENT | BCG TERMINAL FUDNING CO. | BCG PENSIONMARK | BAY AREA WEALTH MANAGEMENT | BARNES CAPITAL GROUP | BARNES & COMPANY INVESTMENT COUNSEL | BANDCO TEVIS INVESTMENT STRATEGIES | BALANCED ASSET STRATEGIES, LTD. | BALANCED ASSET STRATEGIES | B GREEN WEALTH MANAGEMENT | AXIOS ADVISORY GROUP LTD | AWA INVESTMENT ADVISORS | AVILA INVESTMENTS & INSURANCE GROUP | AVENUE WEALTH MANAGEMENT | AUDET WEALTH ADVISORS | AUDET INVESTMENT MANAGEMENT, INC. | ATLANTIC CAPITAL ADVISORS | ATHANASSIE CAPITAL PARTNERS | ASSURE FINANCIAL SERVIXES, LLC | ASSURE FINANCIAL SERVICES, LLC | ASSET ADVISORS | ASHWOOD WEALTH MANAGEMENT | ARENA & BROWN RETIREMENT CONSULTANTS | ANTONETTI CAPITAL MANAGEMENT | ANCHOR WEALTH MANAGEMENT | AMERITRUST CAPITAL MANAGEMENT | AMELIA WEALTH MANAGEMENT | ALL BENEFITS CONSULTING CORP. | ALFORD-JUNGERS FINANCIAL | AFG, LLC | ADVOCATE CONSULTING GROUP | ADVANTAGE BENEFIT SERVICE | ADVANCED STRATEGIES GROUP, LLC | ACUMEN WEALTH ADVISORS | ACUMEN CAPITAL GROUP | ACCORDANCE PRIVATE WEALTH MANAGEMENT | 7620 DIXIE HIGHWAY, LLC | 401K PLAN PROFESSIONALS | 401K MATRIX | 401K ADVISORS, LLC | 401K ADVISORS INTERMOUNTAIN | 360 WEALTH MANAGEMENT...

CRD#: 125112 / SEC#: 801-69511

RIA
Registered Investment Advisory firm - (9/19/2008 Approved)
Florida
Registered Investment Advisory firm - (9/26/2008 Terminated)
Georgia
Registered Investment Advisory firm - (9/26/2008 Terminated)
New York
Registered Investment Advisory firm - (1/10/2005 Cancelled)
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Contact information

Main Address
3030 North Rocky Point Drive West Suite 700, Tampa, FL 33607
Mailing Address
Phone number
(813) 341-0960
Established
Firm type
Fiscal year end
# of Employees
267

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A BROCHURE - IFP - SEPT 2025 (11/7/2025)

Regulatory assets under management

Total Number of Accounts45,782
AUM (Assets Under Management)$ 12,538,891,425

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/30/2023
Cover Page
Report
08/28/2023
Cover Page
Report

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.

Company Information

INDEPENDENT FINANCIAL PARTNERS

CRD#: 125112Clearwater, FL 33765

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