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Current Employers
Apollon Wealth Management, Llc

111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464 • United States

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2021-08-26
  • ME RA
    APPROVED
    Since 2021-08-26

Branch Locations

111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464 • United States

1 Canal Plaza Suite 801, Portland, ME 04101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services, Inc Portland ME 01/2016 08/2021
Apollon Wealth Management, Llc Portland ME 08/2021 Present
Purshe Kaplan Sterling Investments Albany NY 08/2021 Present
Previous Registrations
Other Businesses

1) Apollon Wealth Management; Investment Related; At Registered Location; Investment Advisory; Wealth Manager; 08/26/2021; 120 hrs/mo ; 120 hrs during trading; Investment Advisor, Client facing 2) PKS Financial; Investment related; 80 State St., Albany, NY 12207; Fixed / Traditional Insurance; Agent; 08/2021; 4 hrs/mo; 4 hrs during trading; Sales of fixed / traditional insurance 3) Fixed Insurance; Investment related; At Registered Location; Fixed Traditional Insurance; Agent; 08/2021; 4 hrs mo; 4 hrs during trading; Sales of fixed /traditional insurance 4) Maine Coast Waldorf; Not Investment Related; 57 Desert Road, Freeport, ME; School. Board Member, Treasurer. 09/2022; 10 Hrs/Mo; 0 During Trading Hours; As Treasurer, I Assist in Presenting the Annual Budget to the Board for Approval; No Investment Advice or Control of Funds. 5)Gross & Net LLC; Entity for Business Operations; Holding Company for managing revenue and expenses for securities business activity. | No securities business is conducted through this entity, this services solely as a holding company. 6) Cumberland Bar Association: Not investment related; PO Box 434 Freeport, ME 04032; Legal Bar Association; Board Member; 06/2014; 2 hrs/mo; 0 hrs during trading; Attend board meeting, assist in finding speakers continuing association 7) Chocolate Church Arts Center; Not investment related; 804 Washington St. Bath, ME 04530; Nonprofit arts organization; Treasurer of the Board; 11/2025; 5 hrs/mo: 0 hrs during trading; Review financials, prepare reports to the Board, participate in strategic planning and routine board activities

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-22
  • S66 Uniform Combined State Law Examination
    2016-03-22
Designations

View on SEC IAPD

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