Carlyle D. Apple
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.
Carlyle Davidson Apple was a registered financial professional .
Carlyle is a previously registered financial professional and started their career in finance in 1967. Carlyle had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
July 15, 2011 - December 31, 2020
CROWN CAPITAL SECURITIES, L.P.
March 2, 2007 - December 31, 2021
APPLE & COMPANY, INC.
July 8, 2005 - July 15, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
October 1, 2003 - July 8, 2005
GROVE POINT INVESTMENTS, LLC
May 29, 2003 - October 2, 2003
VSR FINANCIAL SERVICES, INC.
July 6, 1992 - May 30, 2003
COMMONWEALTH FINANCIAL NETWORK
March 13, 1990 - July 6, 1992
KAVANAUGH SECURITIES, INC.
November 24, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - March 7, 1990
OSAIC WEALTH, INC.
August 17, 1967 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
Series 1
Date: 3/3/1958
Registered Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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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