Richard M Appling
Investment Adviser Representative at Raymond James Financial Services Advisors, Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Richard M. Appling is an investment adviser representative with Raymond James Financial Services Advisors, Inc in Rockville, MD, where they have been registered since 2025. They have worked in the securities industry since 2012 and have been registered with 7 firms, including J.p. Morgan Securities LLC and LPL Financial LLC. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Maryland and Texas.
Registrations & licenses
- Investment adviser:
- Maryland, Texas
- Broker:
4 states and territories
District of Columbia, Maryland, Texas, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Bb&tNov 2007 – Dec 2018College Park, MD
- Bb&t Investment Services, IncAug 2016 – Jan 2018Charlotte, NC
- Bb&t Securities, LLCJan 2018 – Nov 2018College Park, MD
- CUNA Brokerage Services, IncDec 2018 – Nov 2021Waverly, IA
- CUNA Brokerage Services, Inc.Dec 2018 – Oct 2021Waverly, IA
- Prudential Insurance Company of AmericaOct 2021 – Jul 2022Bethesda, MD
- Pruco Securities, LLC.Oct 2021 – Jul 2022Bethesda, MD
- LPL Financial LLCJul 2022 – Jan 2023Bethesada, MD
- NIH Federal Credit UnionJul 2022 – Dec 2022Bethesada, MD
- J.P. Morgan Securities LLCJan 2023 – Sep 2025Potomac, MD
- JPMorgan Chase Bank, N.A.Jan 2023 – Sep 2025Potomac, MD
- CUNA MutualJul 2022 – Dec 2022Waverly, IA
- Raymond James Financial Services Inc.Sep 2025 – no end date reportedRockville, MD
- Raymond James Financial Services Advisors Inc.Sep 2025 – no end date reportedRockville, MD
- Atlantic Union BankSep 2025 – no end date reportedRockville, MD
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Raymond James Financial Services Advisors, Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 6,660
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Saint Petersburg, FL
- SEC file number:
- 801-69815
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard M Appling has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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