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LP

Leslie M. Pappas

WEALTHFORGE SECURITIES
Richmond, VA 23230
Some features on this profile are disabled
CRD#: 1735372
LP

Professional summary

Leslie Margaret Pappas is a registered financial advisor currently at WEALTHFORGE SECURITIES, LLC located in Richmond, Virginia.

Leslie is registered as a RR (Registered Representative) and started their career in finance in 2005. Leslie has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leslie Margaret Pappas's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 19, 2025 - Present

WEALTHFORGE SECURITIES, LLC

Office #1: 3015 W Moore Street Suite 102, Richmond, VA 23230
BD
CRD#: 152550
Richmond, VA
Past

November 18, 2014 - December 11, 2025

LIGHTPATH CAPITAL, INC

BD
CRD#: 34617
St. Petersburg, FL
Past

May 13, 2014 - October 7, 2014

DIVERSIFY WEALTH MANAGEMENT, INC.

RIA
CRD#: 169032
PALO ALTO, CA
Past

January 2, 2014 - September 29, 2014

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
PALO ALTO, CA
Past

February 21, 2013 - November 6, 2013

SANDLAPPER WEALTH MANAGEMENT, LLC

RIA
CRD#: 164443
GREENVILLE, SC
Past

March 9, 2012 - November 6, 2013

SANDLAPPER SECURITIES, LLC

BD
CRD#: 137906
MOUNTAIN VIEW, CA
Past

February 3, 2012 - March 8, 2012

COURTLANDT SECURITIES CORPORATION

BD
CRD#: 137356
NEWPORT BEACH, CA
Past

February 2, 2006 - December 31, 2011

REGENT CAPITAL GROUP, INC.

BD
CRD#: 126881
INDIAN ROCKS BEACH, FL
Past

May 27, 2005 - January 18, 2006

K-ONE INVESTMENT COMPANY, INC.

BD
CRD#: 16156
FORT SMITH, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(12/23/2025)
RR
Virginia
(12/23/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/13/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/26/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/22/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/26/2005
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 6/19/2007
Direct Participation Programs Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WEALTHFORGE SECURITIES, LLC
WEALTHFORGE | WEALTHFORGE, LLC | WEALTHFORGE SECURITIES, LLC

CRD#: 152550 / SEC#: , 8-68464

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3015 W Moore St Suite 102, Richmond, VA 23230
Mailing Address
3015 W Moore St Suite 102, Richmond, VA 23230
Phone number
(804) 308-0431
Established
Virginia since 07/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEALTHFORGE HOLDINGS, INC.PARENT
ARLES, DONNA DIPIETROCFO, PFO, POO6489389
RAPER, JAMES LEROY JRCCO, COO5721253
ROBBINS, GEORGE WILLIAM IVCEO2440106

Disclosures

Regulatory Event3
Arbitration1

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.

Company Information

WEALTHFORGE SECURITIES, LLC

CRD#: 152550Richmond, VA 23230

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