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RIA / WealthAdvisor43 years in industry

THOMAS J PAPPAS

Advisor at COTTONWOOD WEALTH STRATEGIES, LLC

SALT LAKE CITY, UT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 1
Observed: Nov 29, 1991 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Thomas J Pappas

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: COTTONWOOD WEALTH STRATEGIES, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 9, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Nov 9, 1982
First registration: Nov 29, 1991
Dual registered: no
IAPD individual key: 1068522

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
COTTONWOOD WEALTH STRATEGIES, LLC	Independent wealth	Feb 19, 2021	n/a	yes	SALT LAKE CITY, UT	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 7, 2011	Feb 24, 2021	no	HOLLADAY, UT	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 29, 2010	no	SALT LAKE CITY, UT	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Nov 26, 2003	Jun 1, 2009	no	SALT LAKE CITY, UT\|SALT LAKE CITY, UT	Previous registration
MORGAN STANLEY DW INC.	n/a	Nov 29, 1991	Nov 25, 2003	no	SALT LAKE CITY, UT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	COTTONWOOD WEALTH STRATEGIES, LLC	Feb 24, 2021	Feb 19, 2021	-5	Firm change	Wirehouse to new firm
MORGAN STANLEY	WELLS FARGO ADVISORS	Oct 29, 2010	Jan 7, 2011	70	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Nov 25, 2003	Nov 26, 2003	1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:311272:UT:2021-02-24	Feb 24, 2021	Feb 19, 2021	HOLLADAY, UT	Firm change

Relationships

Registered with (5)

→ COTTONWOOD WEALTH STRATEGIES, LLCRegistered adviserregistration: current employment
Feb 19, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 7, 2011 to Feb 24, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 29, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Nov 26, 2003 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Nov 29, 1991 to Nov 25, 2003factForm ADV

Dated events

No dated event names this entity yet.