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Investment Adviser Firm Summary

THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC. (CRD# 108705 / SEC# 801-55956)
Alternate Names: MYSTIC ASSET MANAGEMENT , RETIREMENT PLANNING CO OF N.E.; MYSTIC ASSET MGT; RPC ADVIOSORS , RETIREMENT PLANNING CO OF NEW ENGLAND INC , RPC ADVISORS , THE RETIREMENT PLANNING COMPANY OF NEW ENGLAND, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/13/1998

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Colorado 04/25/2018
Connecticut 10/03/2002
Florida 02/18/2009
Maryland 04/08/2013
Massachusetts 12/21/1996
New Hampshire 04/08/2013
Rhode Island 10/28/1996
Texas 04/25/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser