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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

AuthorityCategoryStatusDate
NY RA APPROVED 2025-06-20
  • NY RA
    APPROVED
    Since 2025-06-20

Branch Locations

520 White Plains Rd 3Rd Floor, Tarrytown, NY 10591 • 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
NY RA APPROVED 2021-05-17
  • NY RA
    APPROVED
    Since 2021-05-17

Branch Locations

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
Citizens Private Wealth Tarrytown NY 06/2012 Present
Citizens Securities, Inc. Tarrytown NY 06/2025 Present
Citizens Bank Tarrytown NY 06/2012 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-07-26
  • S63 Uniform Securities Agent State Law Examination
    2025-07-26
Designations
  • Certified Financial Planner

View on SEC IAPD

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