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Detailed Report
BRIAN WAYNE APPEL
CRD#: 2562929
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Investment Adviser
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Previous Broker
LIDOCRD#: 269866 331 Newman Springs Road
One River Center Bldg 3, Suite 213
Red Bank, NJ 07701
Registration History
19952000200520102015202020252 FIRMS1994 - 1995 (<1 year)2 FIRMS2008 - 2011 (3 years)2 FIRMS2011 - 2011 (<1 year)2 FIRMS2012 - 2012 (<1 year)2 FIRMS2019 - 2021 (2 years)IALIDO (CRD# 269866)2022 - Present (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2012 - 2019 (6 years)BAXA DISTRIBUTORS, LLC (CRD# 25900)2005 - 2008 (3 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2003 - 2005 (1 year)BGUARDIAN INVESTOR SERVICES LLC (CRD# 6635)2002 - 2003 (1 year)BALLSTATE DISTRIBUTORS, L.L.C. (CRD# 100460)2001 - 2002 (1 year)BPUTNAM RETAIL MANAGEMENT, INC. (CRD# 7325)1998 - 2001 (3 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1995 - 1996 (1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2018 - 2019 (<1 year)IASTRATEGIC ADVISERS LLC (CRD# 104555)2012 - 2018 (5 years)IAINTERNATIONAL PLANNING ALLIANC... (CRD# 120701)2004 - 2005 (1 year)
License(s)

State Registrations

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California 8/9/2024
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New Jersey 6/15/2022
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Florida 6/20/2022
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Texas 6/6/2022
Current Registration(s)
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LIDO (CRD#:269866)
331 Newman Springs Road One River Center Bldg 3, Suite 213, Red Bank, NJ 07701
Registered with this firm since 6/6/2022
Previous Registration(s)
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 05/10/2019 - 08/03/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) Red Bank, NJ
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 05/09/2019 - 08/03/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) Red Bank, NJ
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 07/13/2018 - 02/07/2019 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) BOSTON, MA
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 08/16/2012 - 02/06/2019 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SHREWSBURY, NJ
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 08/17/2012 - 07/13/2018 STRATEGIC ADVISERS LLC (CRD#:104555) SHREWSBURY, NJ
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 01/10/2012 - 07/18/2012 GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC (CRD#:133088) RED BANK, NJ
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 01/04/2012 - 07/13/2012 GARDEN STATE SECURITIES, INC. (CRD#:10083) RED BANK, NJ
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 08/24/2011 - 12/31/2011 FIRST ALLIED SECURITIES, INC. (CRD#:32444) RED BANK, NJ
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 08/24/2011 - 12/31/2011 FIRST ALLIED SECURITIES, INC. (CRD#:32444) RED BANK, NJ
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 10/27/2008 - 09/12/2011 AXA ADVISORS, LLC (CRD#:6627) SHREWSBURY, NJ
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 04/11/2008 - 09/12/2011 AXA ADVISORS, LLC (CRD#:6627) SHREWSBURY, NJ
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 02/23/2005 - 04/01/2008 AXA DISTRIBUTORS, LLC (CRD#:25900) CHARLOTTE, NC
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 02/23/2004 - 03/24/2005 INTERNATIONAL PLANNING ALLIANCE, LLC (CRD#:120701) SOUTH PLAINFIELD, NJ
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 11/03/2003 - 03/22/2005 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
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 06/04/2002 - 09/30/2003 GUARDIAN INVESTOR SERVICES LLC (CRD#:6635) NEW YORK, NY
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 03/14/2001 - 03/07/2002 ALLSTATE DISTRIBUTORS, L.L.C. (CRD#:100460) NORTHBROOK, IL
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 01/13/1998 - 01/23/2001 PUTNAM RETAIL MANAGEMENT, INC. (CRD#:7325) BOSTON, MA
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 03/02/1995 - 09/25/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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 12/15/1994 - 02/08/1995 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
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 12/15/1994 - 02/08/1995 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.