XM
Xavier R. Mustico
THE MUSTICO FINANCIAL GROUP
Elmira, NY 14901
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CRD#: 6705118
XM
Professional summary
Xavier Raymond Mustico, CFP®, who also goes by Xavier 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.
Xavier is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Xavier has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Xavier Mustico
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 Mustico Financial Group, Inc., Start Date: 06/23/2020, 211 W Church St, Elmira, NY 14901, Corporation, RIA, Admin, Portfolio Review, Client Paperwork, Scheduling, Answering Phones, Securities Review, Investment Related, 80 Hours per Month, 4 Hours per day during trading hours. 2. Elmira Downtown Development, Inc., TBD, 311 E Water St, Elmira, NY 14901, Corporation, Board of Directors of a Non-Profit Organization, Board Member, Perform duties as a board of director member, eventually serve on a committee, be an ambassador of the organization and discuss what we are trying to accomplish, Not Investment Related, 2 Hours per month, 0 Hours per day during trading hours. 3. NY LTC Broker, LTD Insurance Agent, Start Date: 12/15/2021, 221 W Church St., Elmira, NY 14901, Sole Proprietor, Individual Insurance Agency/Agent, Agent, Offering Life Insurance products as one element of wealth management where appropriate, Investment Related, 5 Hours per month, 1/2 Hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Xavier Raymond 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®
CFP®
Start date: 2018
Experience
Current
July 15, 2020 - Present
THE MUSTICO FINANCIAL GROUP, INC.
Office #1: 221 West Church St., Elmira, NY 14901RIA
CRD#: 125763
Elmira, NY
Current
August 6, 2020 - Present
MUTUAL SECURITIES, INC.
Office #1: 221 W. Church Street, Elmira, NY 14901BD
CRD#: 13092
Elmira, NY
Past
December 23, 2016 - July 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SYRACUSE, NY
Past
November 9, 2016 - July 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SYRACUSE, NY
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
IAR
Florida(3/16/2021)
RR
New York(1/16/2021)
IAR
New York(6/24/2024)
IAR
Pennsylvania(7/15/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
THE MUSTICO FINANCIAL GROUP, INC.
CRD#: 125763Elmira, NY 14901TRUST BUT VERIFY
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