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Current Employers
Citizens Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-03-11
TX RA APPROVED 2025-03-11
  • CA RA
    APPROVED
    Since 2025-03-11
  • TX RA
    APPROVED
    Since 2025-03-11

Branch Locations

1400 Newport Center Drive, Suite 150 Ca544, Newport Beach, CA 92660 • United States

One Lincoln Center 110 W Fayette St. Ste 1230, Ms: *Nys100, Syracuse, NY 13202 • United States

Citizens Private Wealth

520 White Plains Road 3Rd Floor, Tarrytown, NY 10591 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-03-11
  • CA RA
    APPROVED
    Since 2025-03-11

Branch Locations

1400 Newport Center Drive, Suite 150, Newport Beach, CA 92660 • United States

520 White Plains Road 3Rd Floor, Tarrytown, NY 10591 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 02/2020 03/2025
Bny Mellon Newport Beach CA 02/2014 02/2020
Bank Of America, N.A. Newport Beach CA 03/2020 03/2025
Citizens Securities, Inc., Newport Beach CA 03/2025 Present
Citizens Private Wealth Newport Beach CA 03/2025 Present
Citizens Bank Newport Beach CA 03/2025 Present
Previous Registrations
  • 2020-02-18 → 2025-03-13
    Newport Beach, CA
    Viejo, CA
  • 2013-12-11 → 2014-02-07
    National Planning Corporation
    Huntington Beach, CA
    Ladera Branch, CA
  • 2012-10-11 → 2013-08-21
    Irvine, CA
  • 2012-03-23 → 2012-10-09
    Irvine, CA
    Walnut Creek, CA
    Phoenix, AZ
  • 2009-05-11 → 2010-10-08
    Chase Investment Services Corp.
    San Diego, CA
    Irvine, CA
    Aliso Viejo, CA
    Foothill Ranch, CA
    Irvine, CA
    Laguna Hills, CA
    Laguna Niguel, CA
    Lake Forest, CA
    Mission Viejo, CA
    San Juan Capistrano, CA
    Dana Point, CA
    Irvine, CA
    Irvine, CA
    San Clemente, CA
    Irvine, CA
    Irvine, CA
    Ladera Ranch, CA
    Mission Viejo, CA
    Newport Beach, CA
    Laguna Hills, CA
    Mission Viejo, CA
    Mission Viejo, CA
    Rancho Santa Margarita, CA
    San Clemente, CA
    San Clemente, CA
    Irvine, CA
    Irvine, CA
    Lake Forest, CA
    Laguna Niguel, CA
    Huntington Beach, CA
    Orange, CA
    Santa Ana, CA
    Orange, CA
    Costa Mesa, CA
    Westminster, CA
    Westminster, CA
    Irvine, CA
    Mission Viejo, CA
    Dana Point, CA
    Aliso Viejo, CA
    Laguna Niguel, CA
    San Clemente, CA
    Laguna Hills, CA
    Lake Forest, CA
    San Juan Capistrano, CA
    Ladera Ranch, CA
    Huntington Beach, CA
    Santa Ana, CA
    Costa Mesa, CA
    Anaheim, CA
    Laguna Niguel, CA
    Mission Viejo, CA
    Fountain Valley, CA
    Garden Grove, CA
    Garden Grove, CA
    Irvine, CA
    Mission Viejo, CA
    Foothill Ranch, CA
    Lake Forest, CA
    Newport Beach, CA
    Laguna Hills, CA
    Santa Ana, CA
    Fountain Valley, CA
    Irvine, CA
    Irvine, CA
    Irvine, CA
    San Clemente, CA
    Rancho Santa Margarita, CA
    Santa Ana, CA
    Irvine, CA
    Orange, CA
    Tustin, CA
    Huntington Beach, CA
    Mission Viejo, CA
    Irvine, CA
    Huntington Beach, CA
    Costa Mesa, CA
    Irvine, CA
    Huntington Beach, CA
    Monterey Park, CA
    Montebello, CA
    Norwalk, CA
    Bellflower, CA
    Pico Rivera, CA
    Westminster, CA
    Los Angeles, CA
    Costa Mesa, CA
    Los Alamitos, CA
    Monrovia, CA
    Downey, CA
    Huntington Beach, CA
    Santa Ana, CA
    Duarte, CA
    Garden Grove, CA
    Costa Mesa, CA
    Bellflower, CA
    Costa Mesa, CA
    Cerritos, CA
    Pico Rivera, CA
    Garden Grove, CA
    Long Beach, CA
    Fountain Valley, CA
    Anaheim, CA
    Anaheim, CA
    Pico Rivera, CA
    Paramount, CA
    Bell Gardens, CA
    Fountain Valley, CA
    El Monte, CA
    Long Beach, CA
    Huntington Beach, CA
    Garden Grove, CA
    Huntington Beach, CA
    Fullerton, CA
    Fullerton, CA
    Downey, CA
    Westminster, CA
    Anaheim, CA
    Fullerton, CA
  • 2008-02-05 → 2009-03-26
    Banc Of America Investment Services, Inc.
    Encinitas, CA
    San Diego, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-13
  • S66 Uniform Combined State Law Examination
    2020-01-13
Other Names
  • Kristopher Rory Ferster
  • Kristofer Rory Ferster

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