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Current Employers
Citizens Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-01-11
  • NJ RA
    APPROVED
    Since 2023-01-11

Branch Locations

200 Station Drive, Westwood, MA 02090 • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Weehawken NJ 08/2010 11/2020
Fidelity Investments Millburn NJ 11/2020 09/2022
Citizens Securities, Inc. Springfield NJ 01/2023 Present
Us Air Force Reserve (Active Duty For Trng) Joint Base Mcguire-Dix-Lakehurst NJ 11/2022 12/2022
  • 08/2010 → 11/2020
    Weehawken, NJ
  • 11/2020 → 09/2022
    Fidelity Investments
    Millburn, NJ
  • 01/2023 → Present
    Springfield, NJ
  • 11/2022 → 12/2022
    Us Air Force Reserve (Active Duty For Trng)
    Joint Base Mcguire-Dix-Lakehurst, NJ
Previous Registrations
  • 2020-12-16 → 2022-09-17
    Fidelity Personal And Workplace Advisors
    Millburn, NJ
  • 2010-08-11 → 2020-12-09
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
    Weehawken, NJ
  • 2005-11-08 → 2010-08-09
    Chase Investment Services Corp.
    Greenwich, CT
    Fairfield, CT
    Fairfield, CT
    Fairfield, CT
    Greenwich, CT
    Stratford, CT
    Bridgeport, CT
    Bethel, CT
    Bridgeport, CT
    Bridgeport, CT
    Danbury, CT
    Greenwich, CT
    Greenwich, CT
    Greenwich, CT
    Greenwich, CT
    Milford, CT
    New Canaan, CT
    Stamford, CT
    Stratford, CT
    Trumbull, CT
    Danbury, CT
    Darien, CT
    Monroe, CT
    New Haven, CT
    Newtown, CT
    Norwalk, CT
    Stamford, CT
    Trumbull, CT
    Westport, CT
    Westport, CT
    Wilton, CT
    Wilton, CT
    New Haven, CT
    Old Greenwich, CT
    Ridgefield, CT
    Riverside, CT
    Shelton, CT
    Southport, CT
    Bridgeport, CT
    Greenwich, CT
    New York, NY
    Danbury, CT
    Greenwich, CT
    Stamford, CT
    Shelton, CT
    Newtown, CT
    Westport, CT
    Orange, CT
    Darien, CT
    Fairfield, CT
    Greenvale, NY
    New York, NY
  • 2002-07-31 → 2006-01-11
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-04-13
S63 Uniform Securities Agent State Law Examination 2000-02-15
  • S65 Uniform Investment Adviser Law Examination
    2000-04-13
  • S63 Uniform Securities Agent State Law Examination
    2000-02-15
Other Names
  • Carl Martin Ostergaard
  • Carl Ostergaard
  • Carl Martin Ostergaard

View on SEC IAPD

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