David Appleby

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About David Appleby

See Disclosures

General Information

Firm Start Year

2002

No. of Employees

CRD#

3259135

Firm CRD#

143451

Insurance License#

A007526

Name of Broker/Dealer

None

Name of Custodial Firm

First clearing LLC (Affiliated with Wells Fargo Bank)

States Licensed in

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

10 years listening to understand the unique needs and complexities of clients retirement goals and creating a custom mix and active management of whatever financial products are necessary to create the lifestyle they have chosen during retirement.

Work with the following types of clients

Those approaching/in retirement - new to Bradenton

Compliance

Registered Investment Advisor

Registered Representative

Investment Advisor Representative

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

EA, CLU^®, RFC^®, CASL^®, QFP^®, CTS

Securities Licenses

Series 65

Insurance and Annuity Licenses

Variable Annuity, Long Term Care, Variable Life, Life, Health, Annuity

Financial Organization Memberships

Financial Planning Association (FPA), ChFC®

Non-Financial Organization Memberships

BBB - Rated A+ National Ethics Association Manatee Chamber of Commerce

Firm Information

Firm's Number of Clients

Firm's Number of Planning Clients

Firm's Number of Managed Clients

Advisor's Number of Clients

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$50K and up

Compensation Methods

Based on Assets, Flat Fee, Commissions

Fee % Based on Assets

2% or less

Hourly Rate

$100-$200

Disclosures

PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1872135/paladinregistry-Assurity-Financial-Group-detailed-disclosure.html

Disclaimer

TPM AUM $997,000,000

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Paladin Research Report For:

Assurity Financial Group