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President, CEO & CCO · Mystic Asset Management

Sotirios M. Pappas

CRD 3203303 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Mystic Asset Management, an SEC-registered wealth manager based in Warwick, RI with $615 million in regulatory assets, lists Sotirios M. Pappas on its Form ADV as President, CEO & CCO, a control person. The SEC filings also name Sotirios at 1 other registered adviser.

Firms and roles

AtlasMembers

Sotirios’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
2 firmsLocked
Control-person status
2 firmsLocked
When each role began
Locked
Each firm’s assets and growth
Locked
Search and export owners by title, state and firm size
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

SEC adviser record

Registered since
2003 (23 years)
Designations
None on file
Exams
Series 63, Series 65
Registered in
4 states
Also a broker representative
Yes
Disclosures on record
Yes, see the SEC record

AtlasMembers

Sotirios’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website
Locked
Previous firms, with start and end dates
Locked
Employment history
Locked
States they’re registered in
Locked
Outside business activities
Locked
When they joined their current firm, and their firm’s growth
Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Sotirios’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.