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Gregory S. Pappas

Some features on this profile are disabled
CRD#: 1966287
GP

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.

Gregory S Pappas, who also goes by Gregory Spiredon Pappas, Gregory Pappas, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1989. Gregory had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregory Spiredon Pappas | Gregory 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

February 5, 2019 - May 2, 2022

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

May 4, 2016 - April 9, 2018

XP INVESTMENTS US, LLC

BD
CRD#: 156691
New York, NY
Past

May 16, 2012 - April 29, 2016

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

March 26, 2012 - March 29, 2012

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

August 10, 2007 - September 27, 2012

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

November 9, 2006 - August 10, 2007

COLLINS STEWART INC.

BD
CRD#: 47414
WHITE PLAINS, NY
Past

March 15, 2004 - December 5, 2006

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
WHITE PLAINS, NY
Past

August 1, 2000 - April 7, 2004

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

April 30, 1998 - August 1, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

November 17, 1993 - August 7, 1997

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

June 8, 1992 - December 31, 1997

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

August 22, 1989 - July 11, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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: 8/25/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 4/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/21/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/19/1989
General Securities Representative Examination

Current Firm

TP
TULLETT PREBON FINANCIAL SERVICES LLC
COWEN GOVERNMENT BROKERS, L.P. | TULLETT PREBON FINANCIAL SERVICES LLC | TULLETT LIBERTY SECURITIES LLC | TULLETT LIBERTY SECURITIES INC. | TULLETT & TOKYO LIBERTY SECURITIES INC. | PATRIOT SECURITIES, L.P. | PATRIOT SECURITIES, INC. | LIBERTY PATRIOT SECURITIES INC. | LIBERTY BROKERAGE SECURITIES INC.

CRD#: 28196 / SEC#: , 8-43487

BD
Terminated by SEC on 09/09/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/30/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TP ICAP AMERICAS HOLDINGS INC.100% OWNER
BERNARDO, SHAWN FRANCISCEO2513376
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GOULET, STEPHEN PAULSENIOR MANAGING DIRECTOR/GENERAL COUNSEL/SECRETARY4769810
PEZEU, CHRISTIAN JEAN MICHELPRINCIPAL FINANCIAL OFFICER5661987

Disclosures

Regulatory Event17

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

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

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