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Current Employers
Citizens Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-06
CT RA APPROVED 2023-04-12
NJ RA APPROVED 2023-04-12
NY RA APPROVED 2023-04-12
  • FL RA
    APPROVED
    Since 2025-01-06
  • CT RA
    APPROVED
    Since 2023-04-12
  • NJ RA
    APPROVED
    Since 2023-04-12
  • NY RA
    APPROVED
    Since 2023-04-12

Branch Locations

260 North Ave Ms: Ny353, New Rochelle, NY 10801 • United States

300 Barr Harbor Drive, Suite 450 Mailstop: Pabh10, Conshohocken, PA 19428 • United States

3478 Boston Rd. Ms: Ny344, Bronx, NY 10469 • United States

778 Yonkers Ave Ms: Ny360, Yonkers, NY 10704 • 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
Jp Morgan Securities Llc Bronx NY 10/2014 09/2017
Citigroup New York NY 09/2017 03/2023
Citizens Securities, Inc. Yonkers NY 03/2023 Present
Previous Registrations
  • 2017-09-21 → 2023-04-04
    Greenwich, CT
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Greenwich, CT
    Long Island City, NY
    New York, NY
    Bay Shore, NY
    Fort Lee, NJ
  • 2014-11-10 → 2017-09-27
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Bronx, NY
  • 2013-11-20 → 2014-11-10
    Bronx, NY
    Brooklyn, NY
    Jackson Heights, NY
  • 2012-10-01 → 2013-11-05
    Bronx, NY
    Bronx, NY
  • 2011-11-25 → 2012-10-01
    Chase Investment Services Corp.
    Bronx, NY
    Bronx, NY
    Bronx, NY
    Hartsdale, NY
    Elmsford, NY
Other Businesses

Rental Property - Bronx, NY; Investment-related; Started: 4/01/2022; Title: Owner; Duties: Owner of the two family house. I fix the house and clean around the house.; No time is devoted each month during securities trading hours; 4 hours are devoted each month outside of securities trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-23
S63 Uniform Securities Agent State Law Examination 2007-10-31
  • S66 Uniform Combined State Law Examination
    2011-11-23
  • S63 Uniform Securities Agent State Law Examination
    2007-10-31
Other Names
  • Francis Abanga
  • Francis Asugya Abanga

View on SEC IAPD

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