Mark Pappas

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2016 → 06/2018
  Signator Investors, Inc.
  Costa Mesa, CA
• 06/2018 → Present
  Lpl Financial
  Costa Mesa, CA

Previous Registrations

• 2016-11-30 → 2018-07-02
  Signator Investors, Inc.
  Costa Mesa, CA

Other Businesses

1)06/25/2018 - Business Entity For Tax/Investment Purposes Only - MARK PAPPAS FINANCIAL SERVICES, INC. - 0% - COSTA MESA, CA 92626 2)06/25/2018 - Non-Variable Insurance - MARK PAPPAS FINANCIAL & INSURANCE SERVICES, INC - 20% - COSTA MESA, CA 92626 3)06/25/2018 - DBA for LPL Business (entity for LPL business) - RUFFINO & ASSOCIATES INC - 0% - COSTA MESA, CA 92626 4)06/25/2018 - DBA for LPL Business (entity for LPL business) - MARK PAPPAS FINANCIAL & INSURANCE SERVICES, INC - 80% - COSTA MESA, CA 92626

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-11-21
• S63 Uniform Securities Agent State Law Examination
  1995-09-01