Articles Tagged with David Pappas

David PappasPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Michigan-based Merrill Lynch broker/adviser David Pappas has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pappas (CRD# 1189108).

David Pappas has spent 34 years in the securities industry and has been registered with Merrill Lynch in Bloomfield Hills, Michigan since 1983. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 14, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 26, 1983; Series 31 (Futures Managed Funds Examination), which he obtained on February 10, 2007; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983. He is a registered broker and investment adviser with 30 US states and territories.

According to his BrokerCheck report, he has received two customer complaints and one denied customer complaint.