Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Pappas is a financial advisor registered with LPL Financial LLC. Mark has been in the industry since 1995 and has extensive experience in providing financial advice. Mark is also registered with the state of California as an Investment Advisor Representative. Mark has earned the Series 6, Series 63, Series 65 and SIE licenses. In addition to working with LPL Financial, Mark is also involved with MARK PAPPAS FINANCIAL SERVICES, INC., MARK PAPPAS FINANCIAL & INSURANCE SERVICES, INC, RUFFINO & ASSOCIATES INC and MARK PAPPAS FINANCIAL & INSURANCE SERVICES, INC. Mark specializes in providing financial advice to a variety of clients, including individuals, families, businesses, and charitable organizations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
04/07/2021 - Present
LPL Financial LLC (FOOTHILL RANCH CA)
CA
05/13/2016 - 07/02/2018
SIGNATOR INVESTORS, INC. (COSTA MESA CA)
CA
09/04/2009 - 05/13/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (COSTA MESA CA)
CA
08/18/1995 - 09/04/2009
TRANSAMERICA FINANCIAL ADVISORS, INC. (LOS ALAMITOS CA)
IA
Issued 11/21/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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