Carl David Apple

Current Employers

Apple & Company, Inc.

Nashville, TN • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-05-06
TN	RA	APPROVED	2006-12-19

TX RA
APPROVED_RES

Since 2014-05-06
TN RA
APPROVED

Since 2006-12-19

Branch Locations

Nashville, TN • 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

Organization	City	State	From	To
Apple & Company Inc	Nashville	TN	08/1978	Present
Crown Capital Securities, Lp	Orange	CA	07/2011	02/2024
Arete Wealth Management	Chicago	IL	02/2024	Present

08/1978 → Present

Apple & Company Inc

Nashville, TN
07/2011 → 02/2024

Crown Capital Securities, Lp

Orange, CA
02/2024 → Present

Arete Wealth Management

Chicago, IL

Previous Registrations

2006-10-17 → 2006-11-17

Berthel, Fisher & Company Financial Services, Inc.

Nashville, TN

Nashville, TN

Other Businesses

(1) START DATE 01/1999 I DEVOTE 140 HRS/MO (3 HRS DURING TRADING) AS PRESIDENT/CIO/CCO OF APPLE & COMPANY, INC. MY DUTIES TO THIS INDEPENDENT RIA INCLUDE ACTING AS PRESIDENT, CHIEF INVESTMENT OFFICER, CHIEF COMPLIANCE OFFICER AND MEETING WITH CLIENTS TO DETERMINE THEIR INVESTMENT NEEDS. (2) START DATE 09/1982 I DEVOTE 1 HR/MO (NONE DURING TRADING) AS INSURANCE AGENT FOR APPLE & COMPANY. THIS IS NOT AN INVESTMENT RELATED ACTIVITY AND MY DUTIES INCLUDE SERVISING EXISTING TERM POLICIES. BUSINESS ADDRESS FOR BOTH OF ABOVE IS THE SAME BRANCH ADDRESS. Apple and Company, Inc. dba

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-10-16
S63	Uniform Securities Agent State Law Examination	1982-08-26

S65 Uniform Investment Adviser Law Examination

2006-10-16
S63 Uniform Securities Agent State Law Examination

1982-08-26

Designations

View on SEC IAPD