J. S. Pappas

PIN OAK INVESTMENT ADVISORS

Houston, TX 77057

Some features on this profile are disabled

CRD#: 4059735

Professional summary

J. Scott Pappas, who also goes by J. Scott Pappas, John Scott Pappas, is a registered financial advisor currently at PIN OAK INVESTMENT ADVISORS INC located in Houston, Texas.

J. is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. J. has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J. Scott Pappas | John Scott Pappas

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) - RIA

Click below to view J. Scott Pappas's CRS (Customer Relationship Summary).

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

April 6, 2017 - Present

PIN OAK INVESTMENT ADVISORS INC

Office #1: 510 Bering Drive Ste 100, Houston, TX 77057

RIA

CRD#: 105550

Houston, TX

Past

June 1, 2009 - March 27, 2017

MORGAN STANLEY

RIA

CRD#: 149777

HOUSTON, TX

Past

June 1, 2009 - March 27, 2017

MORGAN STANLEY

CRD#: 149777

HOUSTON, TX

Past

November 12, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HOUSTON, TX

Past

November 12, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

HOUSTON, TX

Past

January 31, 2003 - November 24, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

January 31, 2003 - November 24, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 20, 1999 - February 3, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HOUSTON, TX

Past

December 14, 1999 - February 3, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

PIN OAK INVESTMENT ADVISORS INC

PIN OAK INVESTMENT ADVISORS | PIN OAK INVESTMENT ADVISORS INC

CRD#: 105550 / SEC#: 801-35858

RIA

Registered Investment Advisory firm - (1/12/1990 Approved)

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

Louisiana
(4/18/2017)

IAR

Texas
(4/6/2017)

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

IAR

Series 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/4/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/10/1999

General Securities Representative Examination

Current Firm

PIN OAK INVESTMENT ADVISORS INC

PIN OAK INVESTMENT ADVISORS | PIN OAK INVESTMENT ADVISORS INC

CRD#: 105550 / SEC#: 801-35858

RIA

Registered Investment Advisory firm - (1/12/1990 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

510 Bering Drive Ste 100, Houston, TX 77057

Mailing Address

Phone number

(713) 871-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PIN OAK ADVISORS, INC. ADV PART 2 (4/2/2025)

Regulatory assets under management

Total Number of Accounts	336
AUM (Assets Under Management)	$ 671,937,578

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.

Similar Advisors

Troy Wootton

EDWARD JONES

IAR

Sugar Land, TX

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

J. S. Pappas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view J. Scott Pappas's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PIN OAK INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 12/16/1999

SIE

Date: 3/27/2017

Series 31

Date: 2/4/2009

Series 7

Date: 12/10/1999

Current Firm

PIN OAK INVESTMENT ADVISORS INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PIN OAK INVESTMENT ADVISORS INC

TRUST BUT VERIFY

Similar Advisors