Brian M. Appleby
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.
Brian M Appleby was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 4 firms and has passed the Series 66, 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
September 2, 2015 - February 23, 2018
TOWERS WATSON INVESTMENT SERVICES, INC.
December 2, 2005 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2005 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 27, 2001 - December 2, 2005
MERRILL LYNCH INVESTMENT MANAGERS LP
July 25, 2001 - December 2, 2005
FAM DISTRIBUTORS, INC.
March 13, 2001 - July 24, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TOWERS WATSON INVESTMENT SERVICES, INC.
CRD#: 110473 / SEC#: 801-46008
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
TOWERS WATSON INVESTMENT SERVICES, INC.
CRD#: 110473 / SEC#: 801-46008
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 129 |
| AUM (Assets Under Management) | $ 52,220,039,039 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/31/2025 | ||
| 09/27/2024 | ||
| 08/28/2023 | ||
| 11/22/2022 |
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.
