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JP

James T. Pappas

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CRD#: 1777374
JP

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.

James Thomas Pappas, who also goes by James T Pappas, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1992. James had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James T Pappas

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 28, 2009 - September 3, 2009

MONTECITO ADVISORS, INC.

BD
CRD#: 104004
NEW YORK, NY
Past

September 26, 2003 - June 10, 2016

HEIGHTS PARTNERS, INC.

BD
CRD#: 32328
NEW YORK, NY
Past

February 6, 1995 - December 31, 1995

USLIFE EQUITY SALES CORP.

BD
CRD#: 7962
NEW YORK, NY
Past

March 9, 1992 - February 26, 1993

FIRST OPTIONS OF CHICAGO, INC.

BD
CRD#: 13822
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/23/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/10/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/1992
General Securities Representative Examination

Current Firm

MA
MONTECITO ADVISORS, INC.
MONTECITO ADVISORS, INC.

CRD#: 104004 / SEC#: , 8-52471

BD
Terminated by SEC on 01/27/2017
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Contact information

Main Address
2015 State Street Suite B, Santa Barbara, CA 93105
Mailing Address
Phone number
Established
California since 02/10/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GENADRY, ELIE MICHELCHAIRMAN OF THE BOARD, LTD PRINCIPAL721443
BANERJEE, DEBASISH ("NMN")CO-FINOP1555979
KAPERNEKAS, ATHANASIOS GTRADE RISK MANAGER4183213
WOLF, ALEXANDER VICTORCFO, CO-FINOP2155490
WOLF, ALEXANDER VICTORGSP2155490
ZOPP, MELANIE ALANECHIEF COMPLIANCE OFFICER, GSP4671608
ZOPP, MELANIE ALANECEO4671608

Disclosures

Regulatory Event2

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

MONTECITO ADVISORS, INC.

CRD#: 104004

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