Samuel K. Applebaum

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CRD#: 6645

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 Karl Applebaum was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1972. Samuel had worked at 2 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 14, 1986 - November 8, 1988

SHEARWATER SECURITIES CORPORATION

CRD#: 13103

Past

September 6, 1972 - August 5, 1985

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 1

Date: 8/28/1972

Registered Representative Examination

Current Firm

SHEARWATER SECURITIES CORPORATION

CRD#: 13103 / SEC#: , 8-28574

Terminated by SEC on 07/25/2005

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Contact information

Main Address

Mailing Address

Phone number

Established

California since 11/10/1982

Firm type

Corporation

Fiscal year end

September

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CHAPMAN, RICHARD ALSTON	PRESIDENT / TREASURER / SECRETARY/DIRECTOR	1032928

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.