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MP

Michael Pappas

MICHAEL PAPPAS ADVISOR LLC
BEDFORD, NY
Some features on this profile are disabled
CRD#: 2631793
MP

Professional summary

Michael Pappas is a registered financial advisor currently at MICHAEL PAPPAS ADVISOR LLC located in Bedford, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Michael has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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) - RIA

Click below to view Michael Pappas's 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

June 23, 2014 - Present

MICHAEL PAPPAS ADVISOR LLC

RIA
CRD#: 171334
BEDFORD, NY
Past

January 12, 2008 - April 3, 2014

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
ST LOUIS, MO
Past

September 7, 2007 - April 3, 2014

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. LOUIS, MO
Past

September 29, 1995 - September 14, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
WHITE PLAINS, NY
Past

August 11, 1995 - September 25, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New York
(12/6/2021)
IAR
Texas
(6/23/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/8/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/1995
General Securities Representative Examination

Current Firm

MP
MICHAEL PAPPAS ADVISOR LLC
MICHAEL PAPPAS ADVISOR LLC | PAPPAS, MICHAEL

CRD#: 171334 / SEC#:

New York
Registered Investment Advisory firm - (6/20/2014 Approved)
Texas
Registered Investment Advisory firm - (6/23/2014 Conditional Restricted)
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Contact information

Main Address
Bedford, NY
Mailing Address
Phone number
(914) 234-6429
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts20
AUM (Assets Under Management)$ 10,300,000

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

MICHAEL PAPPAS ADVISOR LLC

CRD#: 171334Bedford, NY

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