Samuel 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.
Samuel Apple was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1965. Samuel had worked at 3 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 1991 - February 1, 2000
J. ALEXANDER SECURITIES, INC.
January 9, 1981 - October 13, 1989
C. L. MCKINNEY & CO., INC.
September 24, 1965 - July 16, 1981
NORMAN HUDSON AND COMPANY
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: 4/21/1958
Registered Representative ExaminationCurrent Firm
J. ALEXANDER SECURITIES, INC.
CRD#: 7809 / SEC#: , 8-23204
Contact information
Documents
Disclosures
| Regulatory Event | 24 |
| Arbitration | 4 |
| Judgment/Lien | 1 |
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.
