Christian A. 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.
Christian Andrew Appleby was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 2016. Christian had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2018 - February 1, 2024
MONROE FINANCIAL PARTNERS, INC.
December 7, 2016 - December 19, 2017
RAYMOND JAMES & ASSOCIATES, 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
MONROE FINANCIAL PARTNERS, INC.
CRD#: 2811 / SEC#: , 8-14045
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DILASCIA, DARYLE ANTHONY | PRESIDENT/BOARD MEMBER | 2793078 |
| DOCHERTY, JENNIFER ANN | GENERAL COUNSEL | 4587223 |
| GAZDA, RYAN M | TREASURER, CFO & BOARD MEMBER | 4230980 |
| LOVE, KRISTIN M | SECRETARY, CCO & BOARD MEMBER | 4370951 |
| MCCRARY, TIMOTHY JAMES | HEAD OF TRADING/BOARD MEMBER | 5789747 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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