Alexander E. 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.
Alexander E Appleby, who also goes by Alexander Eugene Appleby, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2006. Alexander had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2017 - December 10, 2019
AVANTAX ADVISORY SERVICES
April 26, 2017 - December 10, 2019
AVANTAX INVESTMENT SERVICES, INC.
October 28, 2015 - October 31, 2016
PARSONEX ADVISORY SERVICES, INC.
January 2, 2014 - March 29, 2017
PARSONEX SECURITIES, INC.
February 20, 2013 - November 6, 2013
PFS INVESTMENTS INC.
August 30, 2012 - February 19, 2013
PFS INVESTMENTS INC.
May 22, 2006 - November 6, 2013
PFS INVESTMENTS INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
