Ron Appler: Rocky Mountain Advisor Lands $300K REIT Complaint

Sykesville, Georgia financial advisor Ron Appler (CRD# 2499039) allegedly recommended unsuitable BDC and REIT investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Independent Financial Group, doing business as Rocky Mountain High Financial Services.

Mr. Appler’s BrokerCheck report discloses one recent investor complaint. Filed in June 2024, it alleges that as a representative of H. Beck, he misrepresented and recommended unsuitable investments in business development companies and real estate investment trusts. The pending complaint alleges damages of at least $300,000.

Rocky Mountain High Financial Services’s website includes a page describing the firm’s philosophy and approach. “We believe that tax planning, retirement planning and estate conservation should be top priorities for individuals and families of all ages and income ranges,” it explains. “Because many people regard financial planning as complex and confusing, they often miss out on many potentially rewarding financial opportunities. Our goal is to help our clients with the mystery of investing, managing risk, preparing for retirement, and preserving their accumulated wealth.”

According to the Financial Industry Regulatory Authority, Ron Appler holds 30 years of securities industry experience. Based in Sykesville, Maryland, he has been registered as a broker and an investment advisor with Independent Financial Group since 2017, doing business as Rocky Mountain High Financial Services. His past registrations include H. Beck, LaSalle St. Securities, and CBIZ Financial Solutions. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE: the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in Delaware, Florida, Maryland, North Carolina, Pennsylvania, Texas, and Virginia. (Information current as of July 6, 2024.)

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