James C. Pappas

JCP INVESTMENT MANAGEMENT

Houston, TX 77027

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CRD#: 4858317

Professional summary

James Christopher Pappas, who also goes by James C Pappas, is a registered financial advisor currently at JCP INVESTMENT MANAGEMENT, LLC located in Houston, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James C 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.

MR. PAPPAS SPENDS APPROXIMATELY 5% OF HIS TIME AS A CONSULTANT FOR THE FAMILY BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher 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

January 18, 2011 - Present

JCP INVESTMENT MANAGEMENT, LLC

Office #1: 1177 West Loop South Suite 1320, Houston, TX 77027

RIA

CRD#: 150635

Houston, TX

Past

July 31, 2009 - December 31, 2010

JCP INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 150635

HOUSTON, TX

Past

October 24, 2006 - July 24, 2007

GOLDMAN SACHS & CO. LLC

CRD#: 361

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".

JCP INVESTMENT MANAGEMENT, LLC

CRD#: 150635 / SEC#: 801-115037

RIA

Registered Investment Advisory firm - (4/23/2019 Approved)

Texas

Registered Investment Advisory firm - (3/20/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(1/18/2011)

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: 5/14/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/23/2006

General Securities Representative Examination

Current Firm

JCP INVESTMENT MANAGEMENT, LLC

CRD#: 150635 / SEC#: 801-115037

RIA

Registered Investment Advisory firm - (4/23/2019 Approved)

Texas

Registered Investment Advisory firm - (3/20/2019 Terminated)

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Contact information

Main Address

1177 West Loop South Suite 1320, Houston, TX 77027

Mailing Address

Phone number

(713) 333-5540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JCP ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	28
AUM (Assets Under Management)	$ 252,640,784

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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James C. Pappas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Pappas's CRS (Customer Relationship Summary).

Certified licenses

Experience

JCP INVESTMENT MANAGEMENT, LLC

JCP INVESTMENT MANAGEMENT, LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

JCP INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2009

Series 63

Date: 9/29/2006

Series 7

Date: 10/23/2006

Current Firm

JCP INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JCP INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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