Joseph T. Wiegand

APPLE TREE ASSET MANAGEMENT

Fort Wayne, IN 46815

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CRD#: 4435170

Professional summary

Joseph Thomas Wiegand is a registered financial advisor currently at APPLE TREE ASSET MANAGEMENT, LLC located in Fort Wayne, Indiana.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Joseph has worked at 11 firms and has passed the Series 66, 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.

1) LIFETIME FINANCIAL SOLUTIONS, LLC, 1220 N 200 W, Suite B Angola, IN 46703. Investment Related. DBA FOR SECURITIES BUSINESS. START DATE 03/2009. UP TO 20-40 HOURS PER WEEK (80 -160 HOURS PER MONTH). SALES AND SERVICE AT CERTAIN TIMES OF THE YEAR. 2) APPLE TREE FINANCIAL SERVICES, INC - TAX & RETIREMENT PLANNING IS NON SECURITES RELATED AND STARTED IN FEB 2012. ASSISTS IN TAX PREPARATION, DEVOTES UP TO 160 HRS PER MONTH; 160 HRS DURING MARKET HRS. DURING TAX SEASON. AFTER APRIL 15TH IT IS NOT A SUBSTANTIAL AMOUNT OF TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Thomas Wiegand'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

March 17, 2021 - Present

APPLE TREE ASSET MANAGEMENT, LLC

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

RIA

CRD#: 298437

Fort Wayne, IN

Past

August 1, 2014 - March 16, 2021

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

ANGOLA, IN

Past

August 1, 2014 - March 16, 2021

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Fort Wayne, IN

Past

February 10, 2014 - February 11, 2014

DAVID R. KERN ASSET MANAGEMENT

RIA

CRD#: 115364

HUNTERTOWN, IN

Past

April 18, 2011 - August 4, 2014

AMERICAN PORTFOLIOS ADVISORS, INC

RIA

CRD#: 112697

HOLBROOK, NY

Past

April 6, 2011 - August 1, 2014

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

ANGOLA, IN

Past

March 26, 2009 - December 31, 2010

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ANGOLA, IN

Past

October 24, 2005 - December 31, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ANGOLA, IN

Past

June 28, 2004 - April 7, 2009

SHELTON FINANCIAL GROUP, INC.

RIA

CRD#: 123318

FORT WAYNE, IN

Past

May 6, 2003 - October 17, 2005

BLUE VASE SECURITIES, LLC

RIA

CRD#: 46765

FORT WAYNE, IN

Past

May 22, 2002 - October 24, 2005

BLUE VASE SECURITIES, LLC

CRD#: 46765

WASHINGTON, PA

Past

September 20, 2001 - March 18, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 20, 2001 - March 18, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

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".

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
(3/17/2021)

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 66

Date: 9/28/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2001

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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Advisor Monitoring

Firm Stability Insights

Joseph T. Wiegand

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Thomas Wiegand's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE ASSET MANAGEMENT, LLC

CONCORDE INVESTMENT SERVICES, LLC

DAVID R. KERN ASSET MANAGEMENT

AMERICAN PORTFOLIOS ADVISORS, INC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SHELTON FINANCIAL GROUP, INC.

BLUE VASE SECURITIES, LLC

BLUE VASE SECURITIES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

APPLE TREE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/19/2001

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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