Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Appling is a financial advisor currently registered with J.p. Morgan Securities LLC. Richard has been in the financial services industry since 2012. Prior to joining J.p. Morgan Securities LLC, Richard worked for LPL FINANCIAL LLC, Pruco Securities, LLC., CUNA Brokerage Services, INC., BB&T SECURITIES, LLC, BB&T INVESTMENT SERVICES, INC., Wachovia Securities, LLC. Richard is licensed to offer advisory services in the following states: California, Delaware, District of Columbia, Florida, Georgia, Indiana, Maine, Maryland, Massachusetts, Montana, New Jersey, New York, North Carolina, Pennsylvania, Texas, Virginia, Wisconsin.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
MD
04/27/2023 - Present
J.p. Morgan Securities LLC (Potomac MD)
MD
07/18/2022 - 02/03/2023
LPL FINANCIAL LLC (BETHESDA MD)
MD
10/28/2021 - 07/18/2022
PRUCO SECURITIES, LLC. (North Bethesda MD)
MD
12/18/2018 - 10/25/2021
CUNA BROKERAGE SERVICES, INC. (BETHESDA MD)
MD
01/02/2018 - 12/10/2018
BB&T SECURITIES, LLC (COLLEGE PARK MD)
MD
10/12/2016 - 01/02/2018
BB&T INVESTMENT SERVICES, INC. (COLLEGE PARK MD)
MD
09/29/2005 - 11/28/2007
WACHOVIA SECURITIES, LLC (DISTRICT HEIGHTS MD)
MO
10/29/2003 - 07/19/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BOTH
Issued 02/21/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/08/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2016
Series 7 - General Securities Representative Examination
BC
Issued 10/28/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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