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Current Employers
Citizens Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-01-09
CO RA APPROVED 2021-11-03
IL RA APPROVED 2021-11-03
ME RA APPROVED 2021-11-03
NY RA APPROVED 2021-04-08
FL RA APPROVED 2021-01-13
CT RA APPROVED 2021-01-12
DE RA APPROVED 2021-01-12
NH RA APPROVED 2021-01-12
NJ RA APPROVED 2021-01-12
PA RA APPROVED 2021-01-12
RI RA APPROVED 2021-01-12
VT RA APPROVED 2021-01-12
  • AZ RA
    APPROVED
    Since 2026-01-09
  • CO RA
    APPROVED
    Since 2021-11-03
  • IL RA
    APPROVED
    Since 2021-11-03
  • ME RA
    APPROVED
    Since 2021-11-03
  • NY RA
    APPROVED
    Since 2021-04-08
  • FL RA
    APPROVED
    Since 2021-01-13
  • CT RA
    APPROVED
    Since 2021-01-12
  • DE RA
    APPROVED
    Since 2021-01-12
  • NH RA
    APPROVED
    Since 2021-01-12
  • NJ RA
    APPROVED
    Since 2021-01-12
  • PA RA
    APPROVED
    Since 2021-01-12
  • RI RA
    APPROVED
    Since 2021-01-12
  • VT RA
    APPROVED
    Since 2021-01-12

Branch Locations

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

575 Greenwich Ave Mailstop: Ri-258, Warwick, RI 02886 • United States

10 West Shore Road Mailstop: Ri-069, Warwick, RI 02889 • United States

1300 Ten Rod Rd Mailstop: Ri-259, North Kingstown, RI 02852 • 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 Bank N.A. Franklin MA 08/2019 12/2020
Td Bank N.A. Ashland MA 07/2015 08/2019
Citizens Securities Inc. Franklin MA 09/2019 12/2020
Citizens Securities, Inc. Johnston RI 01/2020 02/2022
Citizens Securities, Inc. Johnston RI 02/2022 06/2022
Citizens Securities, Inc. Warwick RI 06/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-02-21
S63 Uniform Securities Agent State Law Examination 2019-11-04
  • S65 Uniform Investment Adviser Law Examination
    2020-02-21
  • S63 Uniform Securities Agent State Law Examination
    2019-11-04
Other Names
  • David Lawrence Overlock
  • David Loughlin

View on SEC IAPD

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