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JA

Jamie B. Appelstein

SCHRODER FUND ADVISORS LLC
New York, NY 10018-3706
Some features on this profile are disabled
CRD#: 5764362
JA

Professional summary

Jamie Beth Appelstein is a registered financial professional currently at SCHRODER FUND ADVISORS LLC located in New York, New York.

Jamie is registered as a RR (Registered Representative) and started their career in finance in 2010. Jamie has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Jamie Beth Appelstein's 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

February 27, 2015 - Present

SCHRODER FUND ADVISORS LLC

Office #1: 7 Bryant Park, New York, NY 10018-3706
BD
CRD#: 24129
New York, NY
Past

February 28, 2017 - July 28, 2017

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

RIA
CRD#: 105820
NEW YORK, NY
Past

October 22, 2010 - February 11, 2015

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

April 23, 2010 - February 11, 2015

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/27/2017)
RR
Colorado
(2/27/2017)
RR
Connecticut
(2/27/2017)
RR
District of Columbia
(2/27/2017)
RR
Massachusetts
(2/27/2017)
RR
New York
(2/27/2015)
RR
Pennsylvania
(2/27/2017)
RR
Washington
(2/27/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/6/2010
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 31
Date: 8/5/2013
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SF
SCHRODER FUND ADVISORS LLC
SCHRODER CAPITAL DISTRIBUTORS INC. | SCHRODER FUND ADVISORS LLC | SCHRODER FUND ADVISORS INC.

CRD#: 24129 / SEC#: , 8-40973

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
7 Bryant Park, New York, NY 10018-3706
Mailing Address
7 Bryant Park, New York, NY 10018-3706
Phone number
(212) 641-3889
Established
Delaware since 06/30/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC.DIRECT OWNER
FORTINO, ROBERT ANTHONYCHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL1905741
LANIER, ANGELASSISTANT SECRETARY6772355
LOWE, RICHARD JOHNBOARD MEMBER7060365
MARSHALL, DAVID JAMESAUTHORIZED SIGNATORY3070206
MAZZA, CATHERINE ANDREAPRESIDENT, CHAIR, BOARD MEMBER1444025
MUHLBAUM, CARIN FANNYSECRETARY3198495
PATNAIK, SHANAKCHIEF COMPLIANCE OFFICER6184296
SAUER, WILLIAM PETERBOARD MEMBER1622322

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

SCHRODER FUND ADVISORS LLC

CRD#: 24129New York, NY 10018-3706

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