Barbara M. Appling
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.
Barbara Mays Appling, who also goes by Barbara Ann Mays, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 2004. Barbara had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - November 1, 2024
PURSHE KAPLAN STERLING INVESTMENTS
January 1, 2011 - April 3, 2012
FSC SECURITIES CORPORATION
September 30, 2005 - June 30, 2009
SECURITIES AMERICA, INC.
July 27, 2004 - October 4, 2005
CAP PRO BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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