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Account
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1287 Post Road, Warwick, RI 02888 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-05-08 |
| CT | RA | APPROVED | 2015-03-12 |
| RI | RA | APPROVED | 2015-03-11 |
Branch Locations
1287 Post Road, Warwick, RI 02888 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2004-10-29 |
| RI | RA | APPROVED | 2003-01-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Pappas Asset Management | Norwood | MA | 04/2000 | Present |
| Retirement Planning Comany Of Ne | Providence | RI | 05/2001 | Present |
| Mystic Asset Management | Warwick | RI | 09/2002 | Present |
| Institutional Securities Corp | Dallas | TX | 02/2015 | Present |
1) ROUTE ONE PROPERTIES, WARWICK, RI, NOT INVESTMENT RELATED, MEMBER - REAL ESTATE HOLDINGS/RENTAL PROPERTY. APPROXIMATELY 5 HOURS A MONTH DEVOTED TO THIS ACTIVITY. 2) MYSTIC ASSET MANAGEMENT. WARWICK, RI, INVESTMENT RELATED, CEO/CCO/PRESIDENT, SINCE 9/2002. 3) PAPPAS ASSET MANAGEMENT, CEO/PRESIDENT, APPROXIMATELY 60 HOURS A MONTH DEVOTED TO THIS ACTIVITY 4 HOURS BEING DURING BUSINESS HOURS. 4) RETIREMENT PLANNING CO. OF WARWICK, RI, INVESTMENT ADVISOR, APPROXIMATELY 20 HOURS A MONTH DEVOTED TO THIS ACTIVITY 2 HOURS BEING DURING BUSINESS HOURS. INVESTMENT MANAGEMENT FEES RECEIVED.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-07-20 |
| S65 | Uniform Investment Adviser Law Examination | 2000-03-09 |
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