Sotirios Mike Pappas

CRD 3203303 · Mystic Asset Management · Warwick, RI

IA RegisteredBroker

Also appears in the source record as: Sam Pappas; Sotiries Mike Pappas

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed: Not yet retrieved from the source record
Registered states: Not yet retrieved from the source record
Years in the industry: Not yet retrieved from the source record
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Mystic Asset Management
Firm CRD: 170361
SEC number: 801-79418
Assets under management: $614.6M as of Mar 2, 2026
Website: www.mysticassetmanagement.com ↗
Phone: 860-495-3300
Firm location: Warwick, RI, 02888

Employment history (4)

From the source registration record · current first

Institutional Securities CorporationCurrent
Walpole, MA · IA capacity

start not retrieved → present
Institutional Securities CorporationCurrent
Warwick, RI · IA capacity

start not retrieved → present
The Retirement Planning Company Of New England, Inc.Current
Warwick, RI · IA capacity

start not retrieved → present
Mystic Asset ManagementCurrent
Warwick, RI · IA capacity

start not retrieved → present

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3203303 ↗ FINRA BrokerCheck record for CRD 3203303 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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