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Mark A. Pappa

FINANCIAL RESOURCES GROUP
GLASTONBURY, CT
·CRD# 2936364·29 years experience

Professional Summary

Mark A. Pappa, who also goes by Mark A Pappa, Mark Alan Pappa, is a registered financial advisor currently at FINANCIAL RESOURCES GROUP, LLC located in Glastonbury, Connecticut. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Mark has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark A Pappa, Mark Alan Pappa

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

FINANCIAL RESOURCES GROUP, LLC·CRD# 293380
RIA
116 Oak Street 2nd Floor, Glastonbury, CT 06033
October 18, 2018 - Present
OSAIC FS, INC.·CRD# 3870
RIA
Glastonbury, CT
September 12, 2012 - August 29, 2018
OSAIC FS, INC.·CRD# 3870
BD
Glastonbury, CT
August 13, 2012 - August 29, 2018
OSAIC WEALTH, INC.·CRD# 23131
BD
East Hartford, CT
December 21, 2010 - August 16, 2012
OSAIC WEALTH, INC.·CRD# 23131
BD
Newington, CT
June 20, 2006 - December 31, 2008
ROBERT R. MEREDITH & CO., INC.·CRD# 29501
BD
New York, NY
January 5, 2005 - January 10, 2005
J.P. TURNER & COMPANY, L.L.C.·CRD# 43177
BD
Atlanta, GA
August 22, 2002 - November 15, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St. Petersburg, FL
March 4, 2002 - August 12, 2002
SANDS BROTHERS & CO., LTD.·CRD# 26816
BD
New York, NY
September 24, 1997 - February 25, 2002

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Current Firm

FR
FINANCIAL RESOURCES GROUP, LLC

FINANCIAL RESOURCES GROUP, LLC

CRD#: 293380
Connecticut
Registered Investment Advisory firm - Connecticut (9/4/2018 Approved)
Texas
Registered Investment Advisory firm - Texas (2/28/2024 Conditional Restricted)

Contact Information

Main Address

116 Oak Street 2nd Floor, Glastonbury, CT 06033

Phone Number

(860) 657-8380

# of Employees

3

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

430

AUM (Assets Under Management)

$89,294,386

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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.

1)FINANCIAL RESOURCES, INC. 40 HEBRON AVENUE, GLASTONBURY, CT. INSURANCE, INVESTMENT RELATED, AGENT, OFFERS FIXED INDEXED ANNUITIES AND TRADITIONAL LIFE INSURANCE PRODUCTS, STARTED ON 08/2012 WORKING 10 HPM ALL DURING TRADING HOURS. 2)MARK PAPPA/140 HEBRON AVENUE,SUITE 101-A GLASTONBURY, CT 06033 CATEGORY:TAX PREPARATION INVESTMENT-RELATED:NO TITLE: SOLE PROPRIETOR/TAX PREPARER DUTIES: PREPARE INCOME TAX RETURNS START DATE:3/10/2013 HOURS PER MONTH: 16 HOURS PER MONTH DURING TRADING HOURS:0 3)SpatsApp, Inc, Wethersfield, CT Category: App/web tool development for social media Investment Related: No, with the exception of offering stock options in his company to the programmers developing the app in lieu of salary. Title: Board Member, Owner, President, Treasurer Duties: Fund the startup cost and manage the development team to implement an App/Web tool for social media communications via video for people to debate over a multitude of topics. Start Date: 08/29/2016 Hours per Month: 10 Hours per Month during trading hours: 0 4) Facts Report, LLC., Wethersfield, CT 06109 Category: LLC/Legal Entity/Website Investment Related: No Title: Owner Duties: Operates an impartial website that aims to fight fake news. Start Date: 02/14/17 Hours per Month: 40 Hours per Month during trading hours: 10 5) The Energy Authority, Rocky Hill, CT Category: Energy / non-profit corporation Investment Related: Yes Title: Sales Representative Duties: Sales Representative. Start Date: 05/2005 Hours per Month: 0 Hours per Month during trading hours: 0

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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.
IAR
Connecticut
(10/18/2018)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2012About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1997About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Aug 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 1997About the Series 7 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Mark A. Pappa's CRS (Customer Relationship Summary).

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