Anthony 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.
Anthony Pappas was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1972. Anthony had worked at 4 firms and has passed the Series 63, Series 55, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1985 - January 9, 2012
WHITESTONE SECURITIES INC.
July 14, 1976 - April 30, 1990
CLAIRMONT SECURITIES INC.
February 6, 1975 - May 26, 1975
FORESTERS FINANCIAL SERVICES, INC.
October 20, 1972 - April 19, 1973
KIDDER, PEABODY & 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 55
Date: 4/24/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 10/16/1972
Registered Representative ExaminationF04
Date: 6/23/1975
Financial Principal ExaminationSeries 00
Date: 5/15/1975
General Securities Principal ExaminationCurrent Firm
WHITESTONE SECURITIES INC.
CRD#: 15679 / SEC#: , 8-32465
Contact information
Documents
Red Flags
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