Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Applegate is a financial advisor with over 16 years of experience in the financial services industry. Adam has a strong background in providing financial advice to individuals, businesses, and institutions. Adam is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and previously worked at WELLS FARGO CLEARING SERVICES, LLC. Adam holds a Series 7, 9, 10, 63, and 65 licenses. Adam specializes in various financial products and services, including investments, insurance, and retirement planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IN
07/30/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EVANSVILLE IN)
KY
05/20/2005 - 07/15/2021
WELLS FARGO CLEARING SERVICES, LLC (LOUISVILLE KY)
IA
Issued 08/17/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/18/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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