James L. Meert

APPLE TREE ASSET MANAGEMENT

Fort Wayne, IN 46815

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CRD#: 4316339

Professional summary

James Leonard Meert is a registered financial advisor currently at APPLE TREE ASSET MANAGEMENT, LLC located in Fort Wayne, Indiana.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

MEERT/ZOLLER FINANCIAL GROUP; State registered investment advisor; ADDRESS IS MY Residence; INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES AND PROVIDES ADVISORY SERVICES; 40 HRS. A WEEK APPLE TREE ASSET MANAGEMENT; INVESTMENT RELATED; FORT WAYNE, IN; INVESTMENT ADVISER REPRESENTATIVE; START DATE: 12/2023 TO PRESENT; 20 HRS PER MONTH DURING TRADING; INVESTMENT ADVISORY SERVICES TOWN OF HAMILTON; NON-INVESTMENT RELATED; HAMILTON, MI; TOWN COUNCIL BOARD MEMBER; SPENDS APPROX 2 HRS/MONTH, 0 HOURS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Leonard Meert's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 14, 2023 - Present

APPLE TREE ASSET MANAGEMENT, LLC

Office #1: 4321 Flagstaff Cove, Fort Wayne, IN 46815

RIA

CRD#: 298437

Fort Wayne, IN

Past

November 23, 2010 - December 31, 2023

MEERT/ ZOLLER FINANCIAL GROUP

RIA

CRD#: 152627

HAMILTON, IN

Past

February 10, 2010 - August 18, 2020

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

AUBURN, IN

Past

June 11, 2007 - February 8, 2010

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

AUBURN, IN

Past

July 25, 2002 - June 26, 2007

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

AUBURN, IN

Past

May 16, 2001 - August 23, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 30, 2001 - May 18, 2001

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(12/14/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/22/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2001

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (2/12/2025)

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.

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Firm Stability Insights

James L. Meert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Leonard Meert's CRS (Customer Relationship Summary).

Certified licenses

Experience

MEERT/ ZOLLER FINANCIAL GROUP

AMERICAN EQUITY INVESTMENT CORPORATION

SECURITIES SERVICE NETWORK, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

A. G. EDWARDS & SONS, INC.

EDWARD JONES

Primary Firm SEC Registration

APPLE TREE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/22/2010

Series 63

Date: 3/28/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2001

Current Firm

APPLE TREE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

APPLE TREE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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