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Lawrence Joseph Appel

Purshe Kaplan Sterling Investments

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About Lawrence Joseph Appel

Lawrence Appel is a financial professional with over 30 years of experience in the securities industry. Lawrence has a broad range of experience in the securities industry, having worked with several firms over the years, including Brill Securities, Marsh, Block & Co., Westfalia Investments, Equitable Securities of New York, and Southeast Securities of Florida. Lawrence currently works for Purshe Kaplan Sterling Investments and is registered in several states including California, Connecticut, Florida, Georgia, Illinois, Nevada, New Jersey, and New York. Lawrence is committed to providing clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

Lawrence Appel is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Lawrence Appel’s Registration & Firm History

NY

03/30/2000 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

NY

12/22/1997 - 03/28/2000

BRILL SECURITIES, INC. (NEW YORK NY)

NY

08/12/1993 - 05/27/1998

MARSH, BLOCK & CO. INC. (NEW YORK NY)

FL

07/20/1989 - 09/13/1991

WESTFALIA INVESTMENTS, INC. (FORT LAUDERDALE FL)

NA

04/25/1984 - 12/20/1988

EQUITABLE SECURITIES OF NEW YORK,INC.

NA

03/01/1982 - 05/02/1984

SOUTHEAST SECURITIES OF FLORIDA, INC.

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Licenses & Designations

BC

Issued 05/25/1982

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/28/1987

Series 53 - Municipal Securities Principal Examination

BC

Issued 11/12/1984

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/20/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Lawrence Joseph Appel. Review regulatory record here.
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