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Sotirios Mike Pappas

THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.·WARWICK, Rhode Island
Clean recordTHE 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.
Brand Profile
Not yet started
Disclosure history
Clean record · no disclosure events on file
01

About

Sotirios Mike Pappas is a registered financial advisor based in WARWICK, Rhode Island, affiliated with THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Wealth Management
Client Types
Individuals
High Net Worth Individuals
Introduction

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03

Firm Overview

Firm
THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.
THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.
AUM
$279M
Regulatory assets under management
Employees
4
Total firm employees
View all advisors at THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. →
Services
Financial planning
Portfolio management (individuals)
Selection of other advisers
04

Background

Compensation
Percentage of AUM
Hourly charges
Subscription fees
Commissions
Regulatory
SEC/IARD CRD# 3203303
Firm CRD# 108705
View on FINRA BrokerCheck →

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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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Other Advisors at THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.

Leah M Alvanos
WARWICK, RI
David William Allaire
WARWICK, RI
Robin Howard Honiss
WARWICK, RI

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Nearby cities in Rhode Island
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Research
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