Sotirios M. Pappas

THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND

Warwick, RI 02888

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CRD#: 3203303

Professional summary

Sotirios Mike Pappas, who also goes by Sam Pappas, Sotiries Mike Pappas, is a registered financial advisor currently at THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. located in Warwick, Rhode Island and MYSTIC ASSET MANAGEMENT located in Warwick, Rhode Island.

Sotirios is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sotirios has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Pappas | Sotiries Mike Pappas

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) ROUTE ONE PROPERTIES, WARWICK, RI, NOT INVESTMENT RELATED, MEMBER - REAL ESTATE HOLDINGS/RENTAL PROPERTY. APPROXIMATELY 5 HOURS A MONTH DEVOTED TO THIS ACTIVITY. 2) MYSTIC ASSET MANAGEMENT. WARWICK, RI, INVESTMENT RELATED, CEO/CCO/PRESIDENT, SINCE 9/2002. 3) PAPPAS ASSET MANAGEMENT, CEO/PRESIDENT, APPROXIMATELY 60 HOURS A MONTH DEVOTED TO THIS ACTIVITY 4 HOURS BEING DURING BUSINESS HOURS. 4) RETIREMENT PLANNING CO. OF WARWICK, RI, INVESTMENT ADVISOR, APPROXIMATELY 20 HOURS A MONTH DEVOTED TO THIS ACTIVITY 2 HOURS BEING DURING BUSINESS HOURS. INVESTMENT MANAGEMENT FEES RECEIVED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sotirios Mike Pappas's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 1, 2003 - Present

THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.

Office #1: 1287 Post Road, Warwick, RI 02888

RIA

CRD#: 108705

Warwick, RI

Current

March 11, 2015 - Present

MYSTIC ASSET MANAGEMENT

Office #1: 1287 Post Road, Warwick, RI 02888

RIA

CRD#: 170361

Warwick, RI

Current

February 23, 2015 - Present

INSTITUTIONAL SECURITIES CORPORATION

Office #1: 1287 Post Road, Warwick, RI 02888

CRD#: 20291

Warwick, RI

Past

November 18, 2010 - March 13, 2015

RIDGEWAY & CONGER, INC.

CRD#: 113055

WARWICK, RI

Past

May 24, 2001 - December 1, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WARWICK, RI

Past

June 22, 1999 - March 31, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MYSTIC ASSET MANAGEMENT

MYSTIC ASSET MANAGEMENT | MYSTIC ASSET MANAGEMENT, INC.

CRD#: 170361 / SEC#: 801-79418

RIA

Registered Investment Advisory firm - (4/7/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/23/2015)

California
(8/25/2022)

Connecticut
(2/23/2015)

IAR

Connecticut
(3/12/2015)

Florida
(2/23/2015)

IAR

Massachusetts
(10/29/2004)

Massachusetts
(2/23/2015)

IAR

Rhode Island
(1/1/2003)

Rhode Island
(2/23/2015)

IAR

Texas
(5/8/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/20/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/9/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MYSTIC ASSET MANAGEMENT

MYSTIC ASSET MANAGEMENT | MYSTIC ASSET MANAGEMENT, INC.

CRD#: 170361 / SEC#: 801-79418

RIA

Registered Investment Advisory firm - (4/7/2014 Approved)

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Contact information

Main Address

1287 Post Road, Warwick, RI 02888

Mailing Address

Phone number

(866) 206-5272

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MYSTIC ASSET MANAGEMENT FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	329
AUM (Assets Under Management)	$ 529,286,695

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Sotirios M. Pappas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sotirios Mike Pappas's CRS (Customer Relationship Summary).

Certified licenses

Experience

MYSTIC ASSET MANAGEMENT

INSTITUTIONAL SECURITIES CORPORATION

RIDGEWAY & CONGER, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

MYSTIC ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 7/20/2001

Series 65

Date: 3/9/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/21/1999

FINRA

Current Firm

MYSTIC ASSET MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MYSTIC ASSET MANAGEMENT

TRUST BUT VERIFY

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