Dean Pappas
Professional summary
Dean Pappas, who also goes by C Dean Pappas, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Dean is registered as a RR (Registered Representative) and started their career in finance in 1989. Dean has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 16, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dean Pappas's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017October 6, 2022 - December 19, 2024
COWEN AND COMPANY
July 1, 2003 - January 7, 2021
WELLS FARGO SECURITIES, LLC
May 23, 2000 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 30, 1999 - April 24, 2000
DEUTSCHE BANK SECURITIES INC.
January 1, 1997 - July 7, 1999
J.P. MORGAN SECURITIES LLC
December 5, 1991 - December 4, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1990 - October 23, 1990
SANFORD C. BERNSTEIN & CO., INC.
July 19, 1989 - July 10, 1990
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/6/2024)
(3/8/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCboe BZX Exchange, Inc.
FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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