Thomas J. Pappas

COTTONWOOD WEALTH STRATEGIES

Salt Lake City, UT 84101

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CRD#: 1068522

Professional summary

Thomas J Pappas is a registered financial advisor currently at COTTONWOOD WEALTH STRATEGIES, LLC located in Salt Lake City, Utah.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Thomas has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MP REAL ESTATE, INV RELATED, MIDWAY, UT, 50% OWNERSHIP, START 12/2010, 0 HOURS, NO DUTIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Pappas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 19, 2021 - Present

COTTONWOOD WEALTH STRATEGIES, LLC

Office #1: 650 S. 500 W Suite 176, Salt Lake City, UT 84101

RIA

CRD#: 311272

Salt Lake City, UT

Past

January 7, 2011 - February 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HOLLADAY, UT

Past

October 21, 2010 - February 24, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HOLLADAY, UT

Past

June 1, 2009 - October 29, 2010

MORGAN STANLEY

RIA

CRD#: 149777

SALT LAKE CITY, UT

Past

June 1, 2009 - October 29, 2010

MORGAN STANLEY

CRD#: 149777

SALT LAKE CITY, UT

Past

November 26, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SALT LAKE CITY, UT

Past

November 25, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SALT LAKE CITY, UT

Past

November 29, 1991 - November 25, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SALT LAKE CITY, UT

Past

October 20, 1982 - November 25, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COTTONWOOD WEALTH STRATEGIES, LLC

ASYMM VENTURES | COTTONWOOD WEALTH STRATEGIES, LLC | COTTONWOOD CAPITAL ADVISORS, LLC

CRD#: 311272 / SEC#: 801-119782

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(3/12/2025)

IAR

Utah
(2/19/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/9/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Current Firm

COTTONWOOD WEALTH STRATEGIES, LLC

ASYMM VENTURES | COTTONWOOD WEALTH STRATEGIES, LLC | COTTONWOOD CAPITAL ADVISORS, LLC

CRD#: 311272 / SEC#: 801-119782

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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Contact information

Main Address

650 South 500 West Suite #185, Salt Lake City, UT 84101

Mailing Address

Phone number

(385) 853-5000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COTTONWOOD WEALTH STRATEGIES FORM ADV PART 2A APPENDIX 1 WRAP BROCHURE (3/12/2025)

COTTONWOOD WEALTH STRATEGIES FORM ADV PART 2A BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	630
AUM (Assets Under Management)	$ 306,322,859

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Thomas J. Pappas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Pappas's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

COTTONWOOD WEALTH STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/1982

Series 7TO

Date: 12/22/2022

SIE

Date: 10/1/2018

Series 5

Date: 12/11/1982

Series 7

Date: 10/16/1982

Current Firm

COTTONWOOD WEALTH STRATEGIES, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COTTONWOOD WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

Contact information

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