Louis G. Papa

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CRD#: 2771201

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.

Louis Gregory Papa, who also goes by Lou Papa Jr, Louis Gregory Papa Jr, was a registered financial professional .

Louis is a previously registered financial professional and started their career in finance in 1996. Louis had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lou Papa Jr | Louis Gregory Papa Jr

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

April 26, 2018 - February 8, 2021

CLEARVIEW FINANCIAL PARTNERS

RIA

CRD#: 286168

RADNOR, PA

Past

December 18, 2014 - July 5, 2018

THE WHARTON ADVISORY GROUP, LLC

RIA

CRD#: 120522

WAYNE, PA

Past

December 18, 2014 - February 4, 2021

LPL FINANCIAL LLC

CRD#: 6413

RADNOR, PA

Past

August 2, 2011 - December 18, 2014

SII INVESTMENTS, INC.

RIA

CRD#: 2225

WAYNE, PA

Past

July 25, 2011 - December 18, 2014

SII INVESTMENTS, INC.

CRD#: 2225

WAYNE, PA

Past

May 21, 2010 - July 22, 2011

VFIC SECURITIES, INC.

CRD#: 103160

WAYNE, PA

Past

February 10, 1998 - May 18, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WEST CHESTER, PA

Past

August 4, 1997 - December 12, 1997

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

August 30, 1996 - July 30, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLEARVIEW FINANCIAL PARTNERS

CLEARVIEW FINANCIAL PARTNER | CLEARVIEW FINANCIAL PARTNERS, LLC | CLEARVIEW FINANCIAL PARTNERS

CRD#: 286168 / SEC#: 801-114244

RIA

Registered Investment Advisory firm - (11/5/2018 Approved)

Florida

Registered Investment Advisory firm - (11/11/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/1996

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/29/1996

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 6/13/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/20/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

CLEARVIEW FINANCIAL PARTNERS

CLEARVIEW FINANCIAL PARTNER | CLEARVIEW FINANCIAL PARTNERS, LLC | CLEARVIEW FINANCIAL PARTNERS

CRD#: 286168 / SEC#: 801-114244

RIA

Registered Investment Advisory firm - (11/5/2018 Approved)

Florida

Registered Investment Advisory firm - (11/11/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2018 Terminated)

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Contact information

Main Address

100 Matsonford Road Building #5, Suite 110, Radnor, PA 19087

Mailing Address

Phone number

(610) 293-9211

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A - FIRM DISCLOSURE BROCHURE (3/15/2025)

WRAP FEE PROGRAM BROCHURE (3/15/2025)

Regulatory assets under management

Total Number of Accounts	1,149
AUM (Assets Under Management)	$ 850,402,570

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.

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Firm Stability Insights

Louis G. Papa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE WHARTON ADVISORY GROUP, LLC

LPL FINANCIAL LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

VFIC SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

VANGUARD MARKETING CORPORATION

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

CLEARVIEW FINANCIAL PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/27/1996

Series 52

Date: 8/29/1996

Series 10

Date: 6/13/2000

Series 9

Date: 4/20/2000

Current Firm

CLEARVIEW FINANCIAL PARTNERS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLEARVIEW FINANCIAL PARTNERS

TRUST BUT VERIFY

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