linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Joseph Thomas Pappa

SG Americas Securities, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Joseph? Claim Your Profile

About Joseph Thomas Pappa

Joseph Thomas Pappa is a financial professional with over 20 years of experience in the securities industry. Joseph has worked for several firms over the years, most recently with SG Americas Securities, LLC since 2015. Joseph has a strong background in various areas of finance, including securities trading, options, and operations. Joseph holds numerous professional licenses and certifications, including Series 3, 4, 7, 55, 63, 99, and SIE, demonstrating a commitment to professional development and staying up-to-date on industry standards.

Firm Information

Joseph Pappa is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Joseph Pappa’s Registration & Firm History

IL

01/02/2015 - Present

SG Americas Securities, LLC (CHICAGO IL)

IL

07/27/2012 - 01/02/2015

NEWEDGE USA, LLC (CHICAGO IL)

NY

11/11/1999 - 02/04/2002

MAN FINANCIAL INC (NEW YORK NY)

NY

05/16/1994 - 07/08/1998

E. D. & F. MAN INTERNATIONAL INC. (NEW YORK NY)

IL

09/30/1991 - 05/09/1994

TRANSMARKET GROUP, INC. (CHICAGO IL)

Not sure if Joseph Thomas Pappa is right for you?

Licenses & Designations

BC

Issued 08/01/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/22/1992

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/26/2012

Series 99 - Operations Professional Examination

BC

Issued 04/03/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 09/27/1991

Series 7 - General Securities Representative Examination

BC

Issued 11/28/1988

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Thomas Pappa.
Not sure if Joseph Thomas Pappa is right for you?