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Current Employers
The Mustico Financial Group, Inc.

221 West Church St., Elmira, NY 14901 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-06-18
FL RA APPROVED 2021-03-19
PA RA APPROVED 2020-06-23
  • NY RA
    APPROVED
    Since 2024-06-18
  • FL RA
    APPROVED
    Since 2021-03-19
  • PA RA
    APPROVED
    Since 2020-06-23

Branch Locations

221 West Church St., Elmira, NY 14901 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fsc Securities Corporation, Inc Elmira NY 04/2005 12/2017
Mutual Securities, Inc. Camarillo CA 12/2017 Present
The Mustico Financial Group, Inc. Elmira NY 12/2017 Present
  • 04/2005 → 12/2017
    Fsc Securities Corporation, Inc
    Elmira, NY
  • 12/2017 → Present
    Mutual Securities, Inc.
    Camarillo, CA
  • 12/2017 → Present
    Elmira, NY
Other Businesses

1. THE WEBB AGENCY, SOLE PROPRIETOR, START DATE: 01/05, 221 W. CHURCH STREET, ELMIRA, NY 14901, INDEPENDENT INSURANCE AGENCY/AGEMT, INVESTMENT RELATED, 5 HOURS PER MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 2. NY LTC BROKER, LTD., SOLE PROPRIETOR, START DATE: 01/05, 221 W. CHURCH STREET, ELMIRA, NY 14901, INDIVIDUAL, INSURANCE AGENCY/AGENT, INVESTMENT RELATED, 5 HOURS PER MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 3. JOHN P. MUSTICO LAW FIRM, START DATE: 01/05, 221 W. CHURCH STREET, ELMIRA, NY 14901, TRUST SERVICE AND ESTATE PLANNING REFERRALS, NOT INVESTMENT RELATED, 2 HOURS PER MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 4. DONALD W MUSTICO LAW FIRM, START DATE: 01/05, 221 W. CHURCH STREET, ELMIRA, NY 14901, TRUST & ESTATE PLANNING REFERRAL SERVICES, NOT INVESTMENT RELATED, 2 HOURS PER MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 5. FUNDAMENTAL COMPLIANCE CONSULTING, LLC., START DATE: 01/01/13, 2843 COUNTY LINE DRIVE, BIG FLATS, NY 14814, SPOUSE'S BUSINESS, BOOKKEEPER, NOT INVESTMENT RELATED, 2 HORUS MONTH MONTH, 1/2 HOUR PER DAY DURING TRADING HOURS. 6. The Mustico Financial Group, Inc. CRD# 125763, Start Date Upon passing the S65 Exam, 221 West Church St, Elmira, NNY 1491, Corporation, RIA, Administrator Post Series 65 IAR, Portfolio Review, Client paperwork, Scheduling, Answering phones, Securities review, Investment Related, 80 Hours per month, 4 Hours per day during trading hours. 7. KAFL Insurance Resources, Start Date: 08/20/2026, 221 W Church St., FL 2, Elmira, NY 14901, Corporation, Insurance Agency, Sub-Contractor, Insurance Sales, Not Investment Related, 5 Hours per month, 1 Hour per day during trading hours. 8. Mutual Securities, Inc. 12/15/2017 221 W. Church St. Elmira, NY 14901 Registered Representative, 35 Hours per week

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-02-10
S63 Uniform Securities Agent State Law Examination 2004-11-11
  • S65 Uniform Investment Adviser Law Examination
    2021-02-10
  • S63 Uniform Securities Agent State Law Examination
    2004-11-11

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