David Knott

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
NY	RA	APPROVED	2025-07-16
CA	RA	APPROVED	2024-12-12
AL	RA	APPROVED	2024-08-07
GA	RA	APPROVED	2024-08-02
VT	RA	APPROVED	2023-10-27
RI	RA	APPROVED	2023-06-27
ME	RA	APPROVED	2022-08-26
FL	RA	APPROVED	2022-01-04
NH	RA	APPROVED	2021-04-05

NY RA
APPROVED

Since 2025-07-16
CA RA
APPROVED

Since 2024-12-12
AL RA
APPROVED

Since 2024-08-07
GA RA
APPROVED

Since 2024-08-02
VT RA
APPROVED

Since 2023-10-27
RI RA
APPROVED

Since 2023-06-27
ME RA
APPROVED

Since 2022-08-26
FL RA
APPROVED

Since 2022-01-04
NH RA
APPROVED

Since 2021-04-05

Branch Locations

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

762 Elm Street Ms: Ma760, Concord, MA 01742 • United States

270 Great Road Ms: Ma-302, Acton, MA 01720 • 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
National Life Group	Beverly	MA	01/2021	03/2021
Equity Services, Inc.	Montpelier	VT	01/2021	03/2021
Knott Family Trust	Concord	MA	11/2014	Present
Citizens Securities, Inc.	Concord	MA	04/2021	Present

01/2021 → 03/2021

National Life Group

Beverly, MA
01/2021 → 03/2021

Equity Services, Inc.

Montpelier, VT
11/2014 → Present

Knott Family Trust

Concord, MA
04/2021 → Present

Citizens Securities, Inc.

Concord, MA

Previous Registrations

2021-02-02 → 2021-03-09

Equity Services, Inc.

Concord, MA

Colchester, VT

Concord, MA

Other Businesses

*KNOTT FAMILY TRUST. 350 SIMON WILLARD ROAD, CONCORD, MA. NOT INV REL. FAMILY INV TRUST. CIO. JAN 2021. TRADE A PORTFOLIO OF STOCKS AND BONDS WITHIN FAMILY TRUST. DURING TRADE HRS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-01-19

S66 Uniform Combined State Law Examination

2021-01-19

Other Names

David John Morgan Knott

View on SEC IAPD