RA
RA
Roy Apple
39 Years of Experience
Palm Beach, FL
4 DisclosuresBroker
Roy Apple is a registered investment advisor at Wells Fargo Advisors, based in Palm Beach, FL, with 39 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B
Fee Structure
Minimum Investment:$250K
- Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
- Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
- Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.
One-Time Plan:Up to $25,000
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Location
255 S County Rd Ste 100, [Vg-Rbo], Palm Beach, FL, 33480
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2008Denied
Customer Dispute
May 2001Settled
Customer Dispute
May 2001Denied
Customer Dispute
April 2000Withdrawn
Other Business Activities
Roy owns a residential rental property in Bretton Woods, NH since 2019. He dedicates minimal time to this investment-related activity.
Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
April 2024 - Present · 2 yrs 3 mos
Wells Fargo Advisors
April 2024 - Present · 2 yrs 3 mos
Previous Registrations
J.P. Morgan Securities LLCBroker
June 2014 - April 2024 · 9 yrs 10 mos
J.P. Morgan Securities LLC
June 2014 - April 2024 · 9 yrs 10 mos
Deutsche Bank Securities INC.
October 2005 - July 2014 · 8 yrs 9 mos
Deutsche Bank Securities INC.Broker
October 2005 - July 2014 · 8 yrs 9 mos
Legg Mason Wood Walker INC
September 1999 - October 2005 · 6 yrs 1 mo
Legg Mason Wood Walker, IncorporatedBroker
September 1999 - October 2005 · 6 yrs 1 mo
Prudential Securities IncorporatedBroker
May 1997 - September 1999 · 2 yrs 4 mos
Painewebber IncorporatedBroker
November 1992 - June 1997 · 4 yrs 7 mos
J. B. Hanauer & CO.Broker
February 1987 - December 1992 · 5 yrs 10 mos
Equico Securities, INC.Broker
September 1986 - February 1987 · 5 mos
The Equitable Life Assurance Society of the United StatesBroker
September 1986 - February 1987 · 5 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.