Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Harold Applestein is a financial professional with over 25 years of experience in the industry. David is currently registered with T. Rowe Price Investment Services, Inc. and has a Series 63, Series 65, Series 7TO, SIE, Series 6, and Series 7 licenses. David is licensed in all 50 states. In the past, David was employed by Principal Securities, Inc., Dunham and Associates Investment Counsel, Inc., Fidelity Investments Institutional Services Company, Inc., Fidelity Brokerage Services, Inc., and Scudder Investor Services, Inc.
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.
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.
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2
MD
06/08/2023 - Present
T. Rowe Price Investment Services, Inc. (Owings Mills MD)
CA
05/29/2021 - 04/26/2023
PRINCIPAL SECURITIES, INC. (SAN DIEGO CA)
CA
04/28/2005 - 01/31/2006
DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. (SAN DIEGO CA)
RI
03/16/2000 - 05/12/2005
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
02/16/1998 - 03/08/2000
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
08/02/1995 - 11/18/1997
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
BC
Issued 07/06/2021
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/03/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/2024
Series 7TO - General Securities Representative Examination
BC
Issued 05/28/2021
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/25/1998
Series 7 - General Securities Representative Examination
BC
Issued 08/01/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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