Michael A. Pappis

Some features on this profile are disabled

CRD#: 6220099

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Anthony Pappis, CFP®, who also goes by Mike Pappis, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2017. Michael had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Pappis

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CRD#: 7597

PITTSBURGH, PA

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".

BOLDIN ADVISORS

BOLDIN ADVISORS | NEWRETIREMENT ADVISORS, LLC | NEWRETIREMENT ADVISORS

CRD#: 294881 / SEC#: 801-132987

RIA

Registered Investment Advisory firm - (6/12/2025 Approved)

Arizona

Registered Investment Advisory firm - (7/10/2025 Terminated)

California

Registered Investment Advisory firm - (8/9/2025 Terminated)

Colorado

Registered Investment Advisory firm - (7/10/2025 Terminated)

Florida

Registered Investment Advisory firm - (7/10/2025 Terminated)

Illinois

Registered Investment Advisory firm - (7/10/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (7/10/2025 Terminated)

Massachusetts

Registered Investment Advisory firm - (7/10/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (7/10/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (7/10/2025 Terminated)

New York

Registered Investment Advisory firm - (7/10/2025 Terminated)

North Carolina

Registered Investment Advisory firm - (7/16/2025 Terminated)

Ohio

Registered Investment Advisory firm - (7/10/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/11/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/10/2025 Terminated)

Vermont

Registered Investment Advisory firm - (7/10/2025 Terminated)

Virginia

Registered Investment Advisory firm - (7/12/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/10/2025 Terminated)

Wyoming

Registered Investment Advisory firm - (7/10/2025 Termination Requested)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/5/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/2017

General Securities Representative Examination

Current Firm

BOLDIN ADVISORS

BOLDIN ADVISORS | NEWRETIREMENT ADVISORS, LLC | NEWRETIREMENT ADVISORS

CRD#: 294881 / SEC#: 801-132987

RIA

Registered Investment Advisory firm - (6/12/2025 Approved)

Arizona

Registered Investment Advisory firm - (7/10/2025 Terminated)

California

Registered Investment Advisory firm - (8/9/2025 Terminated)

Colorado

Registered Investment Advisory firm - (7/10/2025 Terminated)

Florida

Registered Investment Advisory firm - (7/10/2025 Terminated)

Illinois

Registered Investment Advisory firm - (7/10/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (7/10/2025 Terminated)

Massachusetts

Registered Investment Advisory firm - (7/10/2025 Terminated)

Minnesota

Registered Investment Advisory firm - (7/10/2025 Terminated)

Nebraska

Registered Investment Advisory firm - (7/10/2025 Terminated)

New York

Registered Investment Advisory firm - (7/10/2025 Terminated)

North Carolina

Registered Investment Advisory firm - (7/16/2025 Terminated)

Ohio

Registered Investment Advisory firm - (7/10/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/11/2025 Terminated)

Texas

Registered Investment Advisory firm - (7/10/2025 Terminated)

Vermont

Registered Investment Advisory firm - (7/10/2025 Terminated)

Virginia

Registered Investment Advisory firm - (7/12/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/10/2025 Terminated)

Wyoming

Registered Investment Advisory firm - (7/10/2025 Termination Requested)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1 Belvedere Place Suite 200, Mill Valley, CA 94941

Mailing Address

Phone number

(415) 462-5665

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEWRETIREMENT DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (9/11/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael A. Pappis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BOLDIN ADVISORS

NORTHSTAR INVESTMENT ADVISORY LLC

ORIGIN INVESTMENT ADVISORY LLC

AMITY FINANCIAL PLANNING

ALLEGHENY INVESTMENTS, LTD.

ALLEGHENY INVESTMENTS, LTD.

Primary Firm SEC Registration

BOLDIN ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/5/2017

SIE

Date: 10/1/2018

Series 7

Date: 3/30/2017

Current Firm

BOLDIN ADVISORS

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BOLDIN ADVISORS

TRUST BUT VERIFY

Similar Advisors