Harry A. Pappas
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harry Anthony Pappas, who also goes by Tony Pappas, was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1983. Harry had worked at 11 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2019 - May 7, 2021
SIGMA FINANCIAL CORPORATION
February 15, 2017 - September 21, 2017
INSPEREX LLC
February 15, 2017 - September 21, 2017
INCAPITAL DISTRIBUTORS LLC
August 23, 2016 - February 16, 2017
SIGMA FINANCIAL CORPORATION
November 8, 2010 - August 4, 2015
REALTY CAPITAL SECURITIES, LLC
September 15, 2009 - October 29, 2010
SIGMA FINANCIAL CORPORATION
December 10, 2008 - April 30, 2009
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
March 7, 2003 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - April 24, 2009
JOHN HANCOCK DISTRIBUTORS LLC
July 1, 1991 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
May 30, 1985 - July 8, 1991
MUTUAL SERVICE CORPORATION
May 2, 1985 - June 6, 1985
CONTINENTAL CAPITAL SECURITIES, INC
March 29, 1984 - April 2, 1985
U.S. MUTUAL SECURITIES CORP.
June 1, 1983 - March 22, 1984
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/3/2022
General Securities Representative ExaminationSeries 6TO
Date: 8/3/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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