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Michael Lee Appelbaum

Janney Montgomery Scott LLC

Garden City, NY

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-04-10
SD RA APPROVED 2022-07-18
NY RA APPROVED 2021-10-18
OH RA APPROVED 2012-02-27
CA RA APPROVED 2008-10-06
NJ RA APPROVED 2006-07-25
  • TX RA
    APPROVED_RES
    Since 2025-04-10
  • SD RA
    APPROVED
    Since 2022-07-18
  • NY RA
    APPROVED
    Since 2021-10-18
  • OH RA
    APPROVED
    Since 2012-02-27
  • CA RA
    APPROVED
    Since 2008-10-06
  • NJ RA
    APPROVED
    Since 2006-07-25

Branch Locations

1001 Franklin Avenue Suite 202, Garden City, NY 11530 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Janney Montgomery Scott Llc Garden City NY 03/2001 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-18
S65 Uniform Investment Adviser Law Examination 2006-09-05
S63 Uniform Securities Agent State Law Examination 1988-09-29
  • S66 Uniform Combined State Law Examination
    2021-10-18
  • S65 Uniform Investment Adviser Law Examination
    2006-09-05
  • S63 Uniform Securities Agent State Law Examination
    1988-09-29

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

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