Charles Appleton, financial advisor Warrensburg MO
90 score

Charles Appleton

CRD Number: 5916698
Current Firm: Cetera Advisors LLC

Charles Appleton (CRD# 5916698) is an Investment Advisor Representative working at Cetera Advisors LLC in Warrensburg, MO and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Cetera Advisors LLC Denver, CO Mar 2014 - Current 2
Travis Gibson Band Warrensburg, MO Aug 2012 - Current 4
Various Insurance Carriers For W & R Insurance Agencies Warrensburg, MO Nov 2011 - Mar 2014 2
Waddell & Reed, Inc. Warrensburg, MO May 2011 - Mar 2014 2
Midwest Pool Management Warrensburg, MO Feb 2007 - May 2011 4
Unemployed Warrensburg, MO Mar 2000 - Feb 2007 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2011
Contact Info for Charles D. Appleton
Phone Number: 800-929-3485
Registered State(s):
  • MO
By the Numbers
  • Total Assets Under Management
    9,424
    MILLIONS
  • Total Number of Accounts
    47,356
    ACCOUNTS
  • Average Account Value
    $199,001
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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