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Dov Berr Appleman

CRD# 3201421·Registered 1999 - 2010
Previously Registered: Being a previously registered professional could mean that Dov 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.

Professional Summary

Dov Berr Appleman, who also goes by Dov Appleman, was a registered financial advisor. Dov was a previously registered financial professional and started their career in finance 1999 - 2010. Dov had worked at 11 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Dov Appleman

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Syosset, NY
November 24, 2008 - June 25, 2010
FIRST MIDWEST SECURITIES, INC.·CRD# 21786
BD
Melville, NY
July 1, 2008 - August 14, 2008
ROCKWELL GLOBAL CAPITAL LLC·CRD# 142485
BD
Lakemary, FL
April 4, 2008 - June 18, 2008
CLARK DODGE & CO., INC.·CRD# 23288
BD
Garden City, NY
October 30, 2007 - April 3, 2008
WESTROCK ADVISORS, INC.·CRD# 114338
BD
Woodbury, NY
April 10, 2007 - October 26, 2007
PRESTIGE FINANCIAL CENTER, INC.·CRD# 30407
BD
New York, NY
May 25, 2006 - April 9, 2007
THE CONCORD EQUITY GROUP, LLC·CRD# 14569
BD
Garden City, NY
January 4, 2006 - June 2, 2006
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
May 27, 2005 - December 31, 2005
S.W. BACH & COMPANY·CRD# 43522
BD
Port Washington, NY
January 2, 2004 - April 20, 2005
HARRISON SECURITIES, INC.·CRD# 14103
BD
Port Washington, NY
September 30, 2002 - January 21, 2004
LADENBURG CAPITAL MANAGEMENT INC.·CRD# 14623
BD
Bethpage, NY
September 29, 1999 - October 10, 2002

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Current Firm

JT
J.P. TURNER & COMPANY, L.L.C.

J.P. TURNER & COMPANY | J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177 / SEC#: 8-50156
BD
Terminated by SEC on 04/04/2016

Contact Information

Established

Georgia since 04/11/1997

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BRAVES AQUISITION LLCMEMBER—
SHELSON, MARK PAULCORPORATE TREASURER1819252
WOLL, EDWARD BARNETTCHIEF COMPLIANCE OFFICER1096606

Disclosures

Regulatory Event

30

Arbitration

12

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1999About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1999About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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