Sotirios
Pappas

The Retirement Planning Company Of New England, Inc

CRD#3203303
Investment Advisor
in Warwick, RI

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About this Advisor

Sotirios Pappas is a financial advisor working out of Warwick, Rhode Island with 20 years of relevant experience. Pappas is currently employed by The Retirement Planning Company Of New England, Inc. Over the course of their career, they have held roles at Pappas Asset Management, Mystic Asset Management, Retirement Planning Comany Of Ne, Ridgeway & Conger, Inc and Institutional Securities Corp. Pappas maintains Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and can operate in Massachusetts and Rhode Island. The Retirement Planning Company Of New England, Inc is a firm based out of Warwick, RI. It handles $228 million in total assets across its 1,216 customer accounts, making it one of the mid-sized financial advisory firms in the United States by assets under management. The firm serves one charities and foundations. Of its 1,216 client accounts, just 13% are held by high-net-worth investors who have more than $1 million in investable assets. The business provides a set of services, such as financial planning services, portfolio management for individuals and small businesses and portfolio management for institutional clients. Fees charged by financial advisors depend on the services provided. Fees billed by The Retirement Planning Company Of New England, Inc likely include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

20 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Office Location

1287 Post Road
Warwick, RI 02888

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The Retirement Planning Company Of New England, Inc Brokerage Details

Total Assets Under Management

$228,244,200

RI Average: $2,813,243,532
Total Number of Employees

4

RI Average: 18
Total Number of Accounts

1,216

RI Average: 609
Average Account Size

$187,701

RI Average: $4,619,448

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients

Sotirios Pappas Work History

Sotirios has been registered as a financial advisor for 20 years.*

2015 - Present (9 years)

Institutional Securities Corp

2002 - Present (22 years)

Mystic Asset Management

2001 - Present (23 years)

Retirement Planning Comany Of Ne

2000 - Present (24 years)

Pappas Asset Management

2010 - 2015 (5 years)

Ridgeway & Conger, Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Sotirios Pappas to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at The Retirement Planning Company Of New England, Inc

Edward Viar
Providence, RI
Scott Seidman
Warwick, RI
Sotirios Pappas
Warwick, RI
David Allaire
Warwick, RI

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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