Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Donald Appelt is an investment advisor representative with Independent Financial Partners. James has been working in the financial services industry since 1998. James holds Series 6, 7, 63 and 65 licenses and is registered in Colorado, Florida, Minnesota, New Jersey, New York, North Carolina, South Carolina, Texas, and Wisconsin. James is also a Certified Public Accountant.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Personalized portfolio management to meet individual financial objectives.
Non-discretionary investment advice
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.
A percentage of the total value of assets under management is charged.
Percentage of assets under advisement
1
2
FL
01/03/2022 - Present
Independent Financial Partners (Clearwater FL)
FL
09/08/2009 - 05/23/2019
LPL FINANCIAL LLC (TAMPA FL)
FL
02/15/2006 - 09/08/2009
MUTUAL SERVICE CORPORATION (TAMPA FL)
FL
10/31/2005 - 12/31/2005
AIG FINANCIAL ADVISORS, INC. (CLEARWATER FL)
AZ
01/15/1998 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
BC
Issued 02/11/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/06/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1999
Series 7 - General Securities Representative Examination
BC
Issued 01/14/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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