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JW

Joseph T. Wiegand

APPLE TREE ASSET MANAGEMENT
Fort Wayne, IN 46815
Some features on this profile are disabled
CRD#: 4435170
JW

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.
The advisor shows no other business activity.

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

BD
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.

BD
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

BD
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

BD
CRD#: 46765
WASHINGTON, PA
Past

September 20, 2001 - March 18, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 20, 2001 - March 18, 2002

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
(3/17/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/28/2001
Uniform Combined 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: 9/19/2001
General Securities Representative Examination

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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,095
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 46815

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