John 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 Pappas III, who also goes by John Pappas, Johnny Pappas III, Johnny Pappas, John Papps, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2014 - April 9, 2018
J.W. COLE FINANCIAL, INC.
January 25, 2010 - June 2, 2014
WELLINGTON SHIELDS & CO., LLC
October 10, 2006 - January 29, 2010
OPPENHEIMER & CO. INC.
June 9, 2003 - October 10, 2006
AMERIPRISE ADVISOR SERVICES, INC.
March 1, 1999 - June 11, 2003
SHIELDS & COMPANY
November 9, 1998 - March 3, 1999
RETIREMENT FOUNDATIONS, INC.
January 18, 1995 - November 5, 1998
J. B. HANAUER & CO.
June 18, 1991 - December 21, 1994
DONALD & CO. SECURITIES INC.
January 11, 1991 - June 28, 1991
PCI FINANCIAL SERVICES, INC.
December 19, 1989 - January 25, 1991
JOSEPHTHAL & CO., INC.
December 12, 1989 - January 1, 1990
H.J. MEYERS & CO., INC.
November 9, 1989 - December 21, 1989
J F LOWE & COMPANY INCORPORATED
April 21, 1989 - April 16, 1990
WILLIAM M. CADDEN & CO., INC.
December 12, 1988 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
July 6, 1988 - December 15, 1988
KOBER FINANCIAL CORP.
August 14, 1987 - July 16, 1988
MARSHALL DAVIS, INC.
January 8, 1987 - August 15, 1987
F.D. ROBERTS SECURITIES, 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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
