Angelo M. Papalia
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.
Angelo Mark Papalia, who also goes by Mark Papalia, was a registered financial professional .
Angelo is a previously registered financial professional and started their career in finance in 1988. Angelo had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2009 - February 1, 2013
PENN INVESTMENT ADVISORS, INC.
November 18, 2004 - February 1, 2013
FIRST SAVINGS SECURITIES, INC.
January 11, 2002 - April 1, 2004
M HOLDINGS SECURITIES, INC.
January 5, 2000 - December 8, 2009
AMP ASSET MANAGEMENT, INC.
May 26, 1995 - January 22, 2002
OSAIC WEALTH, INC.
October 18, 1994 - June 5, 1995
1717 CAPITAL MANAGEMENT COMPANY
February 8, 1994 - September 21, 1994
FSC SECURITIES CORPORATION
November 4, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 4, 1988 - February 1, 1994
PRUCO SECURITIES, 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
Exams
Series 28
Date: 10/18/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PENN INVESTMENT ADVISORS, INC.
CRD#: 151715 / SEC#: 801-70683
Contact information
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 1,139 |
| AUM (Assets Under Management) | $ 574,427,667 |
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.
