Dimitra Pappas
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.
Dimitra Pappas, who also goes by Dimitra Stambolitis, was a registered financial professional .
Dimitra is a previously registered financial professional and started their career in finance in 1996. Dimitra had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2014 - January 3, 2015
HEIGHTS PARTNERS, INC.
June 18, 2010 - April 5, 2012
MORGAN STANLEY
June 18, 2010 - April 5, 2012
MORGAN STANLEY
July 31, 2007 - April 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 5, 2003 - April 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 1, 1996 - February 4, 1999
CITIGROUP GLOBAL MARKETS 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
Exams
Current Firm
HEIGHTS PARTNERS, INC.
CRD#: 32328 / SEC#: , 8-33832
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAPPAS, JAMES THOMAS | PRESIDENT, SECRETARY AND TREASURER/CCO | 1777374 |
Disclosures
| Regulatory Event | 5 |
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.
