KL
Keith C. Layman
APPLE TREE ASSET MANAGEMENT
Fort Wayne, IN 46815
Some features on this profile are disabled
CRD#: 4226098
KL
Professional summary
Keith Christian Layman is a registered financial advisor currently at APPLE TREE ASSET MANAGEMENT, LLC located in Fort Wayne, Indiana.
Keith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Keith has worked at 12 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) APPLE TREE FINANCIAL GROUP INC., 4321 Flagstaff Cove, Fort Wayne IN 46815. INVESTMENT RELATED. DBA SECURITIES, INSURANCE, TAX PREPARATION, SOME BOOKKEEPING I DEVOTE ALL WORKING HOURS TO THIS.STARTED IN NOV 2006. 2) FAMILY FOCUS INSURANCE AGENCY- I OWE 50% OF A SMALL INSURANCE AGENCY FOR HOME AND AUTO. I REFER TO MY PARTNER WHO WRITES THE BUSINESS. ABOUT 3 HOURS A MONTH AND MAKE ABOUT $2,000 A YEAR. 3) CHRIST'S CHURCH AT GEORGETOWN/Fort Wayne-ELDER-I AM ON THE BOARD OF ELDERS THAT IS THE DECISION MAKING BODY OF THE CHURCH. I ALSO AM ON THE FINANCE COMMITTEE WHICH CALCULATES THE BUDGET EACH YEAR AND HANDLES BUDGET RELATED QUESTIONS.I GET NO COMPENSATION. 2 HOURS PER MONTH DURING TRADING. 4) INTEGRATED FINANCIAL BROKERAGE. NON INVESTMENT RELATED. FIXED INSURANCE GENERAL MARKETING ORGANIZATION. FORT WAYNE, IN. OWNER. ENTITY THAT FIXED BUSINESS IS PROCESSED THROUGH. 1-5 HOURS/MONTH. 5) One Resource Group; 13548 Zubrick Road, Fort Wayne, IN 46783. Insurance Marketing organization that I wire all fixed (except index annuities) through. Work 1-5 non-business hours and 6-10 during business hours. No client conflict with Concorde. 6) Inkworks LLC, 6720 E State Blvd, Fort Wayne, IN, 46815. Not Investment Related. Part Owner, managed books and finances. 1-5 hrs/mo during business hours, 11-20 hrs/mo outside business hours. 7) Children and Women Support Initiative Uganda, 5032 Hemlock Lane, Fort Wayne, IN 46815, Fund Raising and Shipping, Director of Fund Raising, 2 hrs/mo with 0 during market hours. 8) MIAMI NATION OF INDIANS OF INDIANA; NON-INVESTMENT RELATED; VOLUNTEER; APPROX. 5-8 HRS/MTH, SOME DURING TRADING. 9) RAY OF HOPE MEDICAL MISSION; NON-INVESTMENT RELATED; PO BOX, 15806, FORT WAYNE, IN; BOARD OF DIRECTORS/TREASURER; 2 HOURS PER MONTH DURING TRADING. 10) ROUND TABLE GAMES & CURT'S CAFE; NON-INVESTMENT RELATED; 5511 UNIT A, COLDWATER RD, FORT WAYNE, IN; OWNER/CFO; 20 HOURS PER MONTH WITH 8 DURING TRADING HOURS; MAINTAINS BOOKKEEPING, PAYROLL, ETC.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Christian Layman's 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®
NoneExperience
Current
March 16, 2021 - Present
APPLE TREE ASSET MANAGEMENT, LLC
Office #1: 4321 Flagstaff Cove, Fort Wayne, IN 46815RIA
CRD#: 298437
Fort Wayne, IN
Past
August 1, 2014 - March 16, 2021
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
Fort Wayne, IN
Past
August 1, 2014 - March 16, 2021
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Fort Wayne, IN
Past
February 10, 2014 - February 11, 2014
DAVID R. KERN ASSET MANAGEMENT
RIA
CRD#: 115364
HUNTERTOWN, IN
Past
March 20, 2007 - August 4, 2014
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
March 15, 2007 - August 1, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
FORT WAYNE, IN
Past
June 30, 2005 - March 19, 2007
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
FORT WAYNE, IN
Past
June 28, 2005 - March 15, 2007
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
FORT WAYNE, IN
Past
May 20, 2002 - July 2, 2003
ATLAS CAPITAL MANAGEMENT CORP
RIA
CRD#: 106107
FORT WAYNE, IN
Past
April 18, 2002 - June 24, 2005
SII INVESTMENTS, INC.
RIA
CRD#: 2225
FORT WAYNE, IN
Past
March 19, 2001 - June 24, 2005
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
August 4, 2000 - February 23, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 4, 2000 - February 23, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
AT
APPLE TREE ASSET MANAGEMENT, LLC
APPLE TREE ASSET MANAGEMENT, LLC
CRD#: 298437 / SEC#: 801-130668
RIA
Registered Investment Advisory firm - (7/12/2024 Approved)Indiana
Registered Investment Advisory firm - (9/9/2024 Terminated)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.Highlighted states indicate IAR registrations
IAR
Indiana(3/16/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AT
APPLE TREE ASSET MANAGEMENT, LLC
APPLE TREE ASSET MANAGEMENT, LLC
CRD#: 298437 / SEC#: 801-130668
RIA
Registered Investment Advisory firm - (7/12/2024 Approved)Indiana
Registered Investment Advisory firm - (9/9/2024 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4321 Flagstaff Cove, Fort Wayne, IN 46815
Mailing Address
Phone number
(260) 637-7278
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,095 |
| AUM (Assets Under Management) | $ 129,876,404 |
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
APPLE TREE ASSET MANAGEMENT, LLC
CRD#: 298437Fort Wayne, IN 46815TRUST BUT VERIFY
Monitor Keith Layman
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
