Dov B. Appleman
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.
Dov Berr Appleman, who also goes by Dov Appleman, was a registered financial professional .
Dov is a previously registered financial professional and started their career in finance in 1999. Dov had worked at 11 firms and has passed the Series 63 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
November 24, 2008 - June 25, 2010
J.P. TURNER & COMPANY, L.L.C.
July 1, 2008 - August 14, 2008
FIRST MIDWEST SECURITIES, INC.
April 4, 2008 - June 18, 2008
ROCKWELL GLOBAL CAPITAL LLC
October 30, 2007 - April 3, 2008
CLARK DODGE & CO., INC.
April 10, 2007 - October 26, 2007
WESTROCK ADVISORS, INC.
May 25, 2006 - April 9, 2007
PRESTIGE FINANCIAL CENTER, INC.
January 4, 2006 - June 2, 2006
THE CONCORD EQUITY GROUP, LLC
May 27, 2005 - December 31, 2005
GUNNALLEN FINANCIAL, INC
January 2, 2004 - April 20, 2005
S.W. BACH & COMPANY
September 30, 2002 - January 21, 2004
HARRISON SECURITIES, INC.
September 29, 1999 - October 10, 2002
LADENBURG CAPITAL 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
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
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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