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Sotirios Mike Pappas

THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.·WARWICK, Rhode Island
SIE, Series 7, Series 63, Series 65Clean record23 years registeredTHE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.
1287 POST ROAD, WARWICK, RI 02888CRD# 3203303Firm CRD# 108705

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Sotirios Mike Pappas · WARWICK, RI
Registration
CRD #3203303 · THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. · 23 years registered
Brand Profile
Not yet started
01

Career History

MYSTIC ASSET MANAGEMENT
Mar 2015present
INSTITUTIONAL SECURITIES CORPORATION
Feb 2015present
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 63
Series 65
Registration record
First registered · January 1, 2003
Years registered · 23
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.
CRD 108705 · SEC 801-55956
AUM
$279M
Regulatory assets under management
Employees
4
1,248 client accounts
Services offered by THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
Introduction

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05

Frequently Asked Questions

What services does Sotirios Mike Pappas offer?
Sotirios Mike Pappas specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in WARWICK, Rhode Island for a consultation.
What are Sotirios Mike Pappas's credentials?
Sotirios Mike Pappas is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Sotirios Mike Pappas located?
Sotirios Mike Pappas is based in WARWICK, Rhode Island, working with THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.. Their office serves clients in the WARWICK metropolitan area and surrounding communities.
How does Sotirios Mike Pappas charge for services?
Sotirios Mike Pappas's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.?
THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. has approximately 4 employees and manages $279M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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