Octavio Fonseca

Employer firm

Citizens Securities, Inc. CRD 39550

$12.9B regulatory AUM 60,545 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
PARTICIPATE IN WRAP FEE PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers

Citizens Securities, Inc.

One Citizens Bank Way Jcb135, Johnston, RI 02919 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2024-03-28
CA	RA	APPROVED	2024-01-23
ME	RA	APPROVED	2023-09-06
NH	RA	APPROVED	2023-05-10
CT	RA	APPROVED	2022-02-11
IL	RA	APPROVED	2021-07-30
FL	RA	APPROVED	2021-01-21
RI	RA	APPROVED	2020-06-30

CO RA
APPROVED

Since 2024-03-28
CA RA
APPROVED

Since 2024-01-23
ME RA
APPROVED

Since 2023-09-06
NH RA
APPROVED

Since 2023-05-10
CT RA
APPROVED

Since 2022-02-11
IL RA
APPROVED

Since 2021-07-30
FL RA
APPROVED

Since 2021-01-21
RI RA
APPROVED

Since 2020-06-30

Branch Locations

1 Citizens Bank Way, Johnston, RI 02919 • United States

120 Waterman Street, Providence, RI 02906 • United States

333 West River Avenue Mailstop: Ri-117, Providence, RI 02909 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	08/2019	06/2020
Investment And Protection Solutions, Llc	Severna Park	MD	03/2019	07/2019
Colony Capital, Llc Formerly Northstar Securities, Llc	New York	NY	06/2011	02/2018
Unemployed	North Attleboro	MA	02/2018	03/2019
Citizens Securities, Inc.	Providence	RI	06/2020	Present

08/2019 → 06/2020

Axa Advisors, Llc

New York, NY
03/2019 → 07/2019

Investment And Protection Solutions, Llc

Severna Park, MD
06/2011 → 02/2018

Colony Capital, Llc Formerly Northstar Securities, Llc

New York, NY
02/2018 → 03/2019

Unemployed

North Attleboro, MA
06/2020 → Present

Citizens Securities, Inc.

Providence, RI

Previous Registrations

2019-08-29 → 2020-06-30

Equitable Advisors, Llc

Wellesley, MA
2007-08-08 → 2007-08-17

Payden & Rygel

Los Angeles, CA

Other Businesses

Durable Power of Attorney for Health Care for spouse, Jennifer W. Fonseca, not investment related, No financial responsibility, zero compensation, November 7, 2008, 0 hours per month. North Attleboro Swimming-President Non-Profit Responsibilities: Oversee and coordinate functions of a high school swim booster club. Date of Initial Involvement: 10/04/2025 Approx. amount of time/month: 5 hours

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-07-19
S63	Uniform Securities Agent State Law Examination	1998-05-15

S65 Uniform Investment Adviser Law Examination

2019-07-19
S63 Uniform Securities Agent State Law Examination

1998-05-15

Other Names

Octavio Benjamin Fonseca
Ben Fonseca

View on SEC IAPD