James 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.
James Pappas, CFA was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 1 firm and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 1988 - October 24, 2025
JAMES PAPPAS INVESTMENT COUNSEL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 2
Date: 9/7/1994
Non-Member General Securities ExaminationCurrent Firm
JAMES PAPPAS INVESTMENT COUNSEL LLC
CRD#: 123373 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 36,174,240 |
Red Flags
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