Sotirios Pappas has been President, CEO & CCO of Mystic Asset Management since September 2002, is a control person of the firm and directly owns between 50% and 75% of it.
Mystic Asset Management, Inc. is a Warwick, RI firm with $615M under management, 144 clients and 2 advisers across 2 offices, as of its March 2026 filing.
Sotirios Pappas’ longest registration is the current one, 23 years at The Retirement Planning Company of New England, Inc. since 2003.
- Mystic Asset ManagementCurrent– present · 11 yearsWarwick, RI · Adviser representative · Firm CRD 170361
- The Retirement Planning Company of New England, Inc.Also current– present · 23 yearsWarwick, RI · Adviser representative · Firm CRD 108705
Investment adviser representative registrations
Sotirios Pappas is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from January 2003; the most recent is Texas, in May 2025.
- ConnecticutSince 12 March 2015
- MassachusettsSince 29 October 2004
- Rhode IslandSince 1 January 2003
- TexasResidentSince 8 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 20 July 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 9 March 2000 |
| Series 7 | General Securities Representative Examination | 21 June 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Sotirios Mike Pappas
- CRD
- 3203303
- Firm
- Mystic Asset Management · CRD 170361
- Role
- President, CEO & CCO
- Office
- 1287 POST ROAD, Warwick, RI 02888
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Sotirios Pappas work?
Sotirios Pappas has been President, CEO & CCO of Mystic Asset Management, Inc. since September 2002, and is a control person of the firm.
Is Sotirios Pappas a financial advisor?
Yes. Sotirios Pappas has a current investment-adviser registration in Connecticut, Massachusetts, Rhode Island and Texas, through Mystic Asset Management since March 2015.
How many years of experience does Sotirios Pappas have?
Sotirios Pappas has 26 years in the financial industry, since August 2000, across 2 adviser firms.
What exams has Sotirios Pappas passed?
Sotirios Pappas has passed 3 licensing exams: the Series 7, Series 65 and Series 63. The earliest, the Series 7, was passed in June 1999. FINRA credited Sotirios Pappas with the SIE, which began in October 2018.
Where is Sotirios Pappas based?
Sotirios Pappas’ registered office is in Warwick, RI.
Is Sotirios Pappas registered with FINRA?
Yes. Sotirios Pappas has a current broker registration, under CRD 3203303.
Source: FINRA BrokerCheck
How can I verify Sotirios Pappas’ record?
Search CRD 3203303 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Sotirios Pappas’ full registration record.