James Appleby is a CFP-designated registered investment advisor, based in Cary, NC, with 22 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
7317 Tryon Rd, Fl 1, Cary, NC, 27511
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
James is a board member of Beginnings, a non-profit organization promoting education and assistance for children with hearing loss. He dedicates minimal time to this activity.
Employment History
Current Registrations
Truist Investment Services, INC.
Truist Investment Services, INC.Broker
Truist Advisory Services, INC.
Previous Registrations
Bb&t Securities, LLCBroker
Bb&t Securities, LLC
Bb&t Investment Services, INC.
Bb&t Investment Services, INC.Broker
First Citizens Investor Services, INC.Broker
First Citizens Investor Services, INC.
Morgan Stanley
Morgan Stanley Dw INC.Broker
Capital Investment Counsel INC
Capital Investment Group, INC.Broker
State Registrations18 states
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
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