James Pappas
Professional summary
James Pappas III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, James had worked at 24 firms, which includes CETERA INVESTMENT SERVICES LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, TD WEALTH MANAGEMENT SERVICES INC., INVEST FINANCIAL CORPORATION, CAPITAL ONE INVESTMENT SERVICES LLC, CAPITAL ONE FINANCIAL ADVISORS LLC, BANC OF AMERICA INVESTMENT SERVICES INC., QUICK & REILLY INC., SUMMIT FINANCIAL SERVICES GROUP INC., FISERV INVESTOR SERVICES INC., ACUMENT SECURITIES INC., G.F.B. SECURITIES INC., PNC BROKERAGE CORP, CONSECO SECURITIES INC., CHEMICAL INVESTOR SERVICES INC., ESSEX NATIONAL SECURITIES LLC, SEI INVESTMENTS DISTRIBUTION CO., FLEET ENTERPRISES INC., LPL FINANCIAL LLC, ADVEST INC., AMERIPRISE ADVISOR SERVICES INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2010 - November 14, 2012
CETERA INVESTMENT SERVICES LLC
August 13, 2010 - November 14, 2012
CETERA INVESTMENT SERVICES LLC
June 1, 2009 - October 8, 2009
MORGAN STANLEY
May 29, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 10, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 17, 2007 - May 11, 2007
TD WEALTH MANAGEMENT SERVICES INC.
April 17, 2007 - May 11, 2007
TD WEALTH MANAGEMENT SERVICES INC.
January 5, 2007 - April 16, 2007
INVEST FINANCIAL CORPORATION
January 5, 2007 - April 16, 2007
INVEST FINANCIAL CORPORATION
January 12, 2006 - January 10, 2007
TD WEALTH MANAGEMENT SERVICES INC.
January 12, 2006 - January 10, 2007
TD WEALTH MANAGEMENT SERVICES INC.
May 16, 2005 - January 3, 2006
CAPITAL ONE INVESTMENT SERVICES LLC
May 10, 2005 - January 3, 2006
CAPITAL ONE FINANCIAL ADVISORS LLC
October 20, 2004 - March 17, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 17, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 19, 2002 - October 20, 2004
QUICK & REILLY, INC.
April 25, 2001 - October 20, 2004
QUICK & REILLY, INC.
October 21, 1998 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
November 14, 1996 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
March 18, 1996 - November 14, 1996
ACUMENT SECURITIES, INC.
November 8, 1995 - March 25, 1996
G.F.B. SECURITIES, INC.
September 28, 1995 - November 6, 1995
PNC BROKERAGE CORP
October 3, 1994 - October 10, 1995
CONSECO SECURITIES, INC.
October 3, 1994 - October 12, 1995
CHEMICAL INVESTOR SERVICES, INC.
July 5, 1994 - September 13, 1994
ESSEX NATIONAL SECURITIES, LLC
October 14, 1993 - May 3, 1994
SEI INVESTMENTS DISTRIBUTION CO.
December 8, 1992 - March 19, 1993
FLEET ENTERPRISES, INC.
June 17, 1992 - October 6, 1992
LPL FINANCIAL LLC
November 13, 1991 - June 25, 1992
ADVEST, INC.
April 12, 1991 - November 5, 1991
AMERIPRISE ADVISOR SERVICES, INC.
May 7, 1990 - April 8, 1991
ADVEST, INC.
November 21, 1986 - May 30, 1990
UBS FINANCIAL SERVICES 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
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
