John P. 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.
John Phillip Pappas was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 55, Series 7, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2013 - September 5, 2013
UBS FINANCIAL SERVICES INC.
January 2, 2013 - September 5, 2013
UBS FINANCIAL SERVICES INC.
March 12, 2012 - December 21, 2012
LEGEND TRADING, LLC
June 10, 2011 - September 27, 2011
VTRADER PRO, LLC
June 11, 2008 - April 8, 2010
G-2 TRADING,LLC
May 29, 2007 - November 30, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - November 30, 2007
CITIGROUP GLOBAL MARKETS INC.
December 7, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 5, 2002 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 8, 2001 - August 2, 2002
WORLDCO, L.L.C.
June 1, 1992 - November 6, 2001
CITICORP INVESTMENT SERVICES
November 29, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
September 12, 1991 - October 31, 1991
ROBERT TODD FINANCIAL CORP.
August 17, 1984 - May 8, 1987
FLEET BROKERAGE SECURITIES, INC.
December 6, 1983 - June 21, 1984
MORGAN STANLEY DW INC.
April 19, 1983 - December 8, 1983
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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 55
Date: 11/19/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 9/10/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
