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JP

James J. Papagiannis

INCAPITAL DISTRIBUTORS LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 2449960
JP

Professional summary

James John Papagiannis, who also goes by Jim John Papagiannis, is a registered financial professional currently at INCAPITAL DISTRIBUTORS LLC located in Chicago, Illinois and INSPEREX LLC located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2016. James has worked at 2 firms and has passed the SIE, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim John Papagiannis

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) - BD

Click below to view James John Papagiannis's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 13, 2016 - Present

INCAPITAL DISTRIBUTORS LLC

Office #1: 233 South Wacker Drive Suite 4400, Chicago, IL 60606
BD
CRD#: 156622
CHICAGO, IL
Current

January 13, 2016 - Present

INSPEREX LLC

Office #1: 233 South Wacker Drive Suite 4400, Chicago, IL 60606
BD
CRD#: 101420
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/19/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IL
INSPEREX LLC
INCAPITAL | INTEGRATED INVESTMENTS, L.L.C. | INTEGRATED CAPITAL, LLC | INSPEREX LLC | INSPEREX | INCAPITAL, LLC | INCAPITAL LLC

CRD#: 101420 / SEC#: , 8-52081

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
25 Se 4th Avenue Suite 400, Delray Beach, FL 33483
Mailing Address
233 South Wacker Drive Suite 4400, Chicago, IL 60606
Phone number
(312) 379-3700
Established
Delaware since 09/01/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INSPEREX HOLDINGS LLCMEMBER: VOTING
BUSSCHER, ARNOLD BRADLEYCHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL2213934
CARRELS, CHRISTINE ANNCHIEF MARKETING OFFICER6651750
DEEG, ADITI DAVARECHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP4279152
ELLIOTT, LAURA SUEPRESIDENT2125558
MITCHELL, SCOTT ALEXANDERCHIEF EXECUTIVE OFFICER4717597
NICHOLSON, MARSHALL ALLENHEAD OF STRATEGIC INITIATIVES4585471
PAPAGIANNIS, JAMES JOHNCHIEF COMPLIANCE OFFICER & AMLCO2449960
RHODES, DERYK TREVORHEAD OF WEALTH MANAGEMENT SOLUTIONS4157411
TOLAR, JOHN MHEAD OF FIXED INCOME SALES & TRADING3075402

Disclosures

Regulatory Event1

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

INSPEREX LLC

CRD#: 101420Chicago, IL 60606

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