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EA

Edward L. Apple

Some features on this profile are disabled
CRD#: 4125836
EA

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.

Edward Lee Apple JR., who also goes by Ed Apple Jr, was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 2000. Edward had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ed Apple Jr

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.
PACIFIC GLOBAL INVESTMENT CO., INVESTMENT RELATED, 101 N BRAND BLVD STE 1950 GLENDALE CA 91203, INVESTMENT ADVISER, NATL MARKETING & SALES DIRECTOR (SINCE AUG 2017) AND BOARD MEMBER (SINCE JUL 2012), FULL-TIME, ESSENTIALLY 100% DEVOTED DURING TRADING, INSTITUTIONAL SALES TO CONSULTANTS AND ADVISERS. APPLE PARTNERS, NON-INVESTMENT RELATED, 99 CHEROKEE DR MEMPHIS TN 38111, PRESIDENT, CAR WASH BUSINESS, STARTED AUG 2017, UP TO 64 HOURS PER MONTH DEVOTED TO ACTIVITY, UP TO 16 HOURS PER WEEK DEVOTED DURING TRADING HOURS, GENERAL COMPANY OVERSIGHT. APPLE GROVE ALZHEIMER'S & DEMENTIA RESIDENCE, NON-INVESTMENT RELATED, 3575 HACKS CROSS RD MEMPHIS TN 38125, HEALTH CARE FACILITY, INVESTOR/CONSULTANT, STARTED APR 2012, UP TO 1 HOUR PER MONTH, 0 HOURS DEVOTED DURING TRADING HOURS, CONSULTING ON BUSINESS DEVELOPMENT.

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CRS (Client Relationship Summary)

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

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

Past

September 28, 2017 - April 14, 2020

PACIFIC GLOBAL FUND DISTRIBUTORS, INC.

BD
CRD#: 30642
GLENDALE, CA
Past

August 24, 2017 - December 31, 2024

PACIFIC GLOBAL INVESTMENT MANAGEMENT CO

RIA
CRD#: 106962
MEMPHIS, TN
Past

March 15, 2016 - June 14, 2017

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
MEMPHIS, TN
Past

March 15, 2016 - June 14, 2017

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

May 3, 2012 - March 22, 2016

PACIFIC GLOBAL INVESTMENT MANAGEMENT CO

RIA
CRD#: 106962
MEMPHIS, TN
Past

May 2, 2012 - March 22, 2016

PACIFIC GLOBAL FUND DISTRIBUTORS, INC.

BD
CRD#: 30642
GLENDALE, CA
Past

March 17, 2004 - April 19, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
MEMPHIS, TN
Past

March 22, 2000 - April 19, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/25/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/3/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/2016
General Securities Principal Examination

Current Firm

PG
PACIFIC GLOBAL FUND DISTRIBUTORS, INC.
CYPRESS BENEFIT SERVICES, INC. | PACIFIC GLOBAL FUND DISTRIBUTORS, INC.

CRD#: 30642 / SEC#: , 8-45110

BD
Terminated by SEC on 06/07/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/25/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PACIFIC GLOBAL INVESTMENT MANAGEMENT COCALIFORNIA CORPORATION106962
HENNING, CATHERINE LEIGHCHIEF COMPLIANCE OFFICER2930190
HENNING, CATHERINE LEIGHSECRETARY2930190
HENNING, CATHERINE LEIGHPRESIDENT & DIRECTOR2930190
HENNING, GEORGE ALLENCHAIRMAN, CEO & DIRECTOR1319433
KELLEY, BARBARA ANNEDIRECTOR1460423
YAN, JING JINGTREASURER4487755

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

PACIFIC GLOBAL FUND DISTRIBUTORS, INC.

CRD#: 30642

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