Joseph T. Pappa
Professional summary
Joseph Thomas Pappa is a registered financial professional currently at SG AMERICAS SECURITIES, LLC located in Chicago, Illinois.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 4 firms and has passed the Series 63, SIE, Series 99, Series 55, Series 7, Series 3 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Thomas Pappa's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2015 - Present
SG AMERICAS SECURITIES, LLC
Office #1: 425 S. Financial Place, Chicago, IL 60605July 27, 2012 - January 2, 2015
NEWEDGE USA, LLC
November 11, 1999 - February 4, 2002
MF GLOBAL INC.
May 16, 1994 - July 8, 1998
MF GLOBAL INC.
September 30, 1991 - May 9, 1994
TRANSMARKET GROUP L.L.C.
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: 4/3/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
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