James Ralph Pappas
Investment adviser representative at Principal Securities, Inc.
24 yearsExperience
2 statesRegistered in
$17BFirm assets
28 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
24 years in the industry.
- Principal Securities, Inc.Aug 2016 to now
- Principal Life Insurance CoAug 2016 to now
- Pappas Financial Services IncMar 2002 to now
Exams passed
- Series 63 · Uniform Securities Agent State Law2008
- Series 65 · Uniform Investment Adviser Law2017
State registrations
Registered as an investment adviser representative in 2 states (FL, TX).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4254854
- Firm CRD
- 1137