Saul L. Appel
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.
Saul Louis Appel was a registered financial professional .
Saul is a previously registered financial professional and started their career in finance in 1974. Saul had worked at 4 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2000 - April 8, 2013
INDEPENDENT ADVISERS GROUP CORP
October 28, 1998 - December 18, 2014
OSAIC FS, INC.
July 7, 1998 - December 18, 2014
OSAIC FS, INC.
July 17, 1997 - July 27, 1998
LPL FINANCIAL LLC
March 7, 1974 - July 16, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 3/2/1974
Registered Representative ExaminationCurrent Firm
INDEPENDENT ADVISERS GROUP CORP
CRD#: 106684 / SEC#: 801-50971
Contact information
Red Flags
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