Matthew B. Applewhite
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.
Matthew Breland Applewhite was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2015. Matthew had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2017 - December 21, 2021
ADDICUS ADVISORY, LLC
March 9, 2016 - April 27, 2016
LPL FINANCIAL LLC
October 22, 2015 - April 27, 2016
LPL FINANCIAL LLC
Primary Firm SEC Registration
ADDICUS ADVISORY, LLC
CRD#: 282244 / SEC#: 801-122401
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
ADDICUS ADVISORY, LLC
CRD#: 282244 / SEC#: 801-122401
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 181 |
| AUM (Assets Under Management) | $ 262,684,963 |
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.
