Leslie M. Pappas
Professional summary
Leslie Margaret Pappas is a registered financial advisor currently at LIGHTPATH CAPITAL, INC located in St. Petersburg, Florida.
Leslie is registered as a RR (Registered Representative) and started their career in finance in 2005. Leslie has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Leslie Margaret Pappas's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 18, 2014 - Present
LIGHTPATH CAPITAL, INC
May 13, 2014 - October 7, 2014
DIVERSIFY WEALTH MANAGEMENT, INC.
January 2, 2014 - September 29, 2014
DFPG INVESTMENTS, LLC
February 21, 2013 - November 6, 2013
SANDLAPPER WEALTH MANAGEMENT, LLC
March 9, 2012 - November 6, 2013
SANDLAPPER SECURITIES, LLC
February 3, 2012 - March 8, 2012
COURTLANDT SECURITIES CORPORATION
February 2, 2006 - December 31, 2011
REGENT CAPITAL GROUP, INC.
May 27, 2005 - January 18, 2006
K-ONE INVESTMENT COMPANY, 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
(11/19/2014)
(5/11/2023)
(9/10/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
LIGHTPATH CAPITAL, INC
CRD#: 34617 / SEC#: , 8-46299
Contact information
FINRA licenses (4 States and Territories)
Red Flags
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