George K. Pappas

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CRD#: 5359823

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.

George Konstantinos Pappas, who also goes by George K Pappas, George Pappas, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 2007. George had worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

George K Pappas | George 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 22, 2016 - June 16, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Glen Cove, NY

Past

January 23, 2015 - December 16, 2015

UNITED ADVISORS

RIA

CRD#: 133668

GREAT NECK, NY

Past

January 6, 2015 - November 27, 2015

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 4, 2013 - January 16, 2015

MORGAN STANLEY

RIA

CRD#: 149777

GREAT NECK, NY

Past

January 4, 2013 - January 16, 2015

MORGAN STANLEY

CRD#: 149777

GREAT NECK, NY

Past

August 5, 2011 - December 14, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BAYSIDE, NY

Past

August 5, 2011 - December 14, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BAYSIDE, NY

Past

November 24, 2010 - September 1, 2011

MORGAN STANLEY

RIA

CRD#: 149777

JERICHO, NY

Past

October 22, 2010 - September 1, 2011

MORGAN STANLEY

CRD#: 149777

JERICHO, NY

Past

March 3, 2008 - September 24, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ROSLYN, NY

Past

August 24, 2007 - October 24, 2007

MORGAN STANLEY & CO. LLC

CRD#: 8209

GARDEN CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/23/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/3/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/5/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/22/2007

General Securities Representative Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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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Firm Stability Insights

George K. Pappas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED ADVISORS

SECURITIES AMERICA, INC.

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MSI FINANCIAL SERVICES, INC.

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2010

Series 66

Date: 6/3/2008

SIE

Date: 6/16/2017

Series 31

Date: 10/5/2007

Series 7

Date: 8/22/2007

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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