DM
Damien A. Mustico
THE MUSTICO FINANCIAL GROUP
Elmira, NY 14901
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CRD#: 4858831
DM
Professional summary
Damien Andrew Mustico is a registered financial advisor currently at THE MUSTICO FINANCIAL GROUP, INC. located in Elmira, New York and MUTUAL SECURITIES, INC. located in Elmira, New York.
Damien is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Damien has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. THE WEBB AGENCY, SOLE PROPRIETOR, START DATE: 01/05, 221 W. CHURCH STREET, ELMIRA, NY 14901, INDEPENDENT INSURANCE AGENCY/AGEMT, INVESTMENT RELATED, 5 HOURS PER MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 2. NY LTC BROKER, LTD., SOLE PROPRIETOR, START DATE: 01/05, 221 W. CHURCH STREET, ELMIRA, NY 14901, INDIVIDUAL, INSURANCE AGENCY/AGENT, INVESTMENT RELATED, 5 HOURS PER MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 3. JOHN P. MUSTICO LAW FIRM, START DATE: 01/05, 221 W. CHURCH STREET, ELMIRA, NY 14901, TRUST SERVICE AND ESTATE PLANNING REFERRALS, NOT INVESTMENT RELATED, 2 HOURS PER MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 4. DONALD W MUSTICO LAW FIRM, START DATE: 01/05, 221 W. CHURCH STREET, ELMIRA, NY 14901, TRUST & ESTATE PLANNING REFERRAL SERVICES, NOT INVESTMENT RELATED, 2 HOURS PER MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 5. FUNDAMENTAL COMPLIANCE CONSULTING, LLC., START DATE: 01/01/13, 2843 COUNTY LINE DRIVE, BIG FLATS, NY 14814, SPOUSE'S BUSINESS, BOOKKEEPER, NOT INVESTMENT RELATED, 2 HORUS MONTH MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 6. The Mustico Financial Group, Inc. CRD# 125763, Start Date Upon passing the S65 Exam, 221 West Church St, Elmira, NNY 1491, Corporation, RIA, Administrator Post Series 65 IAR, Portfolio Review, Client paperwork, Scheduling, Answering phones, Securities review, Investment Related, 80 Hours per month, 4 Hours per day during trading hours. 7. CORNING COUNTRY CLUB, CORPORATION, START DATE: 03/06/18, 2501 COUNTRY CLUB DRIVE, CORNING, NY 14830, BOARD OF DIRECTORS, 10 HOURS PER MONTH, 0 HOURS PER DAY DURING TRADING HOURS. 8. Mutual Securities, Inc. 12/15/2017 221 W. Church St. Elmira, NY 14901 Registered Representative, 35 Hours per week
CRS (Client Relationship Summary) - RIA
Click below to view Damien Andrew Mustico's 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®
NoneExperience
Current
June 23, 2020 - Present
THE MUSTICO FINANCIAL GROUP, INC.
Office #1: 221 West Church St., Elmira, NY 14901RIA
CRD#: 125763
Elmira, NY
Current
December 15, 2017 - Present
MUTUAL SECURITIES, INC.
Office #1: 221 W. Church Street, Elmira, NY 14901BD
CRD#: 13092
Elmira, NY
Past
April 12, 2005 - December 18, 2017
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ELMIRA, NY
Past
October 8, 2004 - March 18, 2005
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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".
TM
THE MUSTICO FINANCIAL GROUP, INC.
THE MUSTICO FINANCIAL GROUP, INC. | THE MUSTICO GROUP
CRD#: 125763 / SEC#: 801-67939
RIA
Registered Investment Advisory firm - (5/29/2007 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.RR
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
RR
Alabama(12/18/2017)
RR
Arizona(2/5/2024)
RR
Connecticut(12/18/2017)
RR
Florida(12/15/2017)
IAR
Florida(3/19/2021)
RR
Illinois(12/15/2017)
RR
Maine(6/27/2019)
RR
Maryland(12/15/2017)
RR
Massachusetts(12/18/2017)
RR
New Hampshire(12/18/2017)
RR
New Jersey(12/15/2017)
RR
New York(12/15/2017)
IAR
New York(6/18/2024)
RR
North Carolina(12/18/2017)
RR
Ohio(3/11/2022)
RR
Pennsylvania(12/18/2017)
IAR
Pennsylvania(6/23/2020)
RR
South Carolina(12/18/2017)
RR
Tennessee(8/8/2023)
RR
Washington(12/15/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TM
THE MUSTICO FINANCIAL GROUP, INC.
THE MUSTICO FINANCIAL GROUP, INC. | THE MUSTICO GROUP
CRD#: 125763 / SEC#: 801-67939
RIA
Registered Investment Advisory firm - (5/29/2007 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
221 West Church St., Elmira, NY 14901
Mailing Address
Phone number
(607) 733-7935
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 442 |
| AUM (Assets Under Management) | $ 252,042,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
