David 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.
David Pappas, who also goes by Dave Pappas, David Paul Pappas, Pap Pappas, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2014 - May 10, 2016
TRANSAMERICA CAPITAL, LLC
December 15, 2011 - December 6, 2012
JOHN HANCOCK DISTRIBUTORS LLC
December 16, 2005 - December 19, 2012
MANULIFE INVESTMENT MANAGEMENT (US) LLC
December 14, 2005 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
December 5, 2005 - December 19, 2012
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 6, 2005 - November 22, 2005
ALLSPRING FUNDS MANAGEMENT, LLC
April 1, 2005 - November 15, 2005
ALLSPRING FUNDS DISTRIBUTOR, LLC
March 15, 2005 - March 31, 2005
STEPHENS
March 1, 1999 - March 31, 2005
STEPHENS
March 3, 1992 - March 3, 1999
PXP SECURITIES CORP.
January 1, 1991 - January 24, 1992
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
March 21, 1990 - November 20, 1990
HARTWELL DISTRIBUTORS, INC.
June 10, 1988 - September 21, 1989
NSR DISTRIBUTORS, INC.
September 1, 1987 - June 10, 1988
NATIONAL SECURITIES & RESEARCH CORPORATION
January 9, 1987 - March 11, 1987
FORESTERS 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
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
Disclosures
| Regulatory Event | 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.
