Mark A. Pappa

FINANCIAL RESOURCES GROUP

GLASTONBURY, CT 06033

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CRD#: 2936364

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

Aliases

Mark A Pappa | Mark Alan Pappa

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

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark A. Pappa'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

October 18, 2018 - Present

FINANCIAL RESOURCES GROUP, LLC

Office #1: 116 Oak Street 2nd Floor, Glastonbury, CT 06033

RIA

CRD#: 293380

GLASTONBURY, CT

Past

September 12, 2012 - August 29, 2018

OSAIC FS, INC.

RIA

CRD#: 3870

GLASTONBURY, CT

Past

August 13, 2012 - August 29, 2018

OSAIC FS, INC.

CRD#: 3870

GLASTONBURY, CT

Past

December 21, 2010 - August 16, 2012

OSAIC WEALTH, INC.

CRD#: 23131

EAST HARTFORD, CT

Past

June 20, 2006 - December 31, 2008

OSAIC WEALTH, INC.

CRD#: 23131

NEWINGTON, CT

Past

January 5, 2005 - January 10, 2005

ROBERT R. MEREDITH & CO., INC.

CRD#: 29501

NEW YORK, NY

Past

August 22, 2002 - November 15, 2002

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

March 4, 2002 - August 12, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 24, 1997 - February 25, 2002

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, 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

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

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 9/4/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 10/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 8/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 9/23/1997

General Securities Representative Examination

Current Firm

FINANCIAL RESOURCES GROUP, LLC

CRD#: 293380 / SEC#:

Connecticut

Registered Investment Advisory firm - (9/4/2018 Approved)

Texas

Registered Investment Advisory firm - (2/28/2024 Conditional Restricted)

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Contact information

Main Address

116 Oak Street 2nd Floor, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 657-8380

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	430
AUM (Assets Under Management)	$ 89,294,386

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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Advisor Monitoring

Firm Stability Insights

Mark A. Pappa

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

OSAIC FS, INC.

OSAIC FS, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

ROBERT R. MEREDITH & CO., INC.

J.P. TURNER & COMPANY, L.L.C.

RAYMOND JAMES FINANCIAL SERVICES, INC.

SANDS BROTHERS & CO., LTD.

State Registrations and Notice Filings

Exams

Series 65

Passed: 9/4/2012

Series 63

Passed: 10/3/1997

SIE

Passed: 8/29/2018

Series 7

Passed: 9/23/1997

Current Firm

FINANCIAL RESOURCES GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FINANCIAL RESOURCES GROUP, LLC

TRUST BUT VERIFY

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