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One Citizens Bank Way Jcb135, Johnston, RI 02919 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-05-16 |
| CA | RA | APPROVED | 2023-05-15 |
| NY | RA | APPROVED | 2023-05-15 |
| NH | RA | APPROVED | 2022-09-21 |
Branch Locations
1420 Massachusetts Avenue Ms: Ma763, Arlington, MA 02476 • United States
1 Citizens Bank Way, Johnston, RI 02919 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Scottsdale | AZ | 01/2016 | 11/2017 |
| Lpl Financial Llc | Scottsdale | AZ | 11/2017 | 08/2018 |
| Gwfs Equities, Inc | Greenwood Village | CO | 08/2018 | 03/2019 |
| N/A | Scottsdale | AZ | 03/2019 | 07/2019 |
| Transamerica Capital Inc | Denver | CO | 07/2019 | 03/2020 |
| Prudential Insurance Company Of America | Medford | MA | 03/2020 | 08/2022 |
| Prudential Annuities Distributors | Medford | MA | 03/2020 | 08/2022 |
| Citizens Securities, Inc. | Arlington | MA | 08/2022 | Present |
Securus Financial Group - Managing Director - Corporation is only open for administrative purposes. There's no activity nor client engagement.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-09-19 |
| S66 | Uniform Combined State Law Examination | 2015-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-22 |
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