Nikolaos Papas
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.
Nikolaos Papas, CFP®, who also goes by Nick Papas, Nicodemus Papas, Nikolaos Papazoglou, was a registered financial professional .
Nikolaos is a previously registered financial professional and started their career in finance in 1993. Nikolaos had worked at 18 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 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
Start date: 2005
Experience
August 27, 2020 - September 27, 2021
R.M. STARK & CO., INC.
October 1, 2018 - August 31, 2020
INTEGRITY ALLIANCE, LLC.
July 2, 2018 - October 2, 2018
FORESTERS EQUITY SERVICES, INC.
June 13, 2018 - October 2, 2018
FORESTERS EQUITY SERVICES, INC.
August 3, 2017 - June 12, 2018
KOVACK ADVISORS, INC.
July 7, 2017 - June 12, 2018
KOVACK SECURITIES INC.
June 24, 2015 - July 12, 2017
VALIC FINANCIAL ADVISORS, INC.
June 22, 2015 - July 12, 2017
VALIC FINANCIAL ADVISORS, INC.
June 18, 2013 - December 17, 2013
SANTANDER SECURITIES LLC
May 9, 2013 - December 17, 2013
SANTANDER SECURITIES LLC
December 20, 2012 - April 30, 2013
FORESTERS EQUITY SERVICES, INC.
June 11, 2010 - June 13, 2011
VALIC FINANCIAL ADVISORS, INC.
May 27, 2010 - June 13, 2011
VALIC FINANCIAL ADVISORS, INC.
March 31, 2010 - December 31, 2010
MUNICIPAL INVESTORS, INC.
July 28, 2008 - December 31, 2009
WASSERMAN & ASSOCIATES, INC.
January 10, 2008 - July 18, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
January 7, 2008 - July 18, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
May 29, 2007 - September 6, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - September 6, 2007
CITIGROUP GLOBAL MARKETS INC.
March 5, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 2, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 13, 2004 - July 26, 2004
ALLSTATE FINANCIAL SERVICES, LLC
March 2, 1999 - March 14, 2007
LPL FINANCIAL LLC
February 26, 1999 - March 14, 2007
LPL FINANCIAL LLC
May 29, 1998 - February 17, 1999
SUNPOINT SECURITIES, INC.
May 1, 1998 - June 5, 1998
WAMU INVESTMENTS, INC.
October 13, 1997 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 19, 1995 - September 24, 1997
LPL FINANCIAL LLC
June 21, 1994 - December 2, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 16, 1993 - August 26, 1993
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 7TO
Date: 3/12/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/12/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
R.M. STARK & CO., INC.
CRD#: 7612 / SEC#: , 8-22543
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
