Andre 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.
Andre Pappas, who also goes by Andre Papadopoulos, A Hugh Pappas, was a registered financial advisor .
Andre is a previously registered financial advisor and started their career in finance in 1967. Andre had worked at 16 firms and has passed the Series 65, Series 63, Series 15, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - December 31, 2011
SUMMIT BROKERAGE SERVICES, INC.
May 23, 2003 - December 31, 2010
BOLTON GLOBAL CAPITAL
January 2, 2001 - June 24, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 2, 2001 - June 24, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 3, 1994 - January 2, 2001
JWGENESIS SECURITIES, INC.
May 4, 1989 - January 3, 1994
JW GENESIS CLEARING CORP.
July 21, 1988 - February 7, 1989
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 4, 1987 - June 4, 1988
PRIORITY SECURITIES, INC.
February 19, 1986 - May 27, 1987
FIRST FLORIDA SECURITIES GROUP, INC.
June 10, 1985 - January 14, 1986
FIRST HERITAGE CORPORATION
April 11, 1984 - June 10, 1985
FIRST FLORIDA SECURITIES, INC.
April 16, 1982 - April 2, 1984
CRALIN & CO., INC.
December 24, 1980 - April 1, 1982
ALLEN & COMPANY OF FLORIDA, LLC
June 8, 1978 - January 1, 1981
CIBC WORLD MARKETS CORP.
February 24, 1978 - July 20, 1978
MORGAN STANLEY DW INC.
September 22, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
November 1, 1968 - November 8, 1976
DEAN WITTER & CO. INCORPORATED
September 15, 1967 - February 21, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 8/29/1985
Foreign Currency Options ExaminationSeries 1
Date: 8/10/1965
Registered Representative ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
