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One Citizens Bank Way Jcb135, Johnston, RI 02919 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2024-11-27 |
Branch Locations
520 White Plains Rd 3Rd Floor, Tarrytown, NY 10591 • United States
200 Station Drive, Westwood, MA 02090 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimer Asset Management Inc. | New York | NY | 04/2009 | 04/2020 |
| Oppenheimer & Co. Inc. | New York | NY | 04/2009 | 04/2020 |
| Citigroup | Stamford | CT | 04/2020 | 04/2024 |
| Citizens Bank | Tarrytown | NY | 11/2024 | Present |
| Citizens Securities, Inc. | Tarrytown | NY | 11/2024 | Present |
| Unemployed | Pleasantville | NY | 04/2024 | 11/2024 |
State Street Investment Management Advisory Council- Member of Advisory Council Responsibilities: Help State Street gain insight into client and their challenges, while also allowing for feedback on products and services. Date of Initial Involvement: 03/10/2026 Approx. amount of time/month: 2 hours/quarter
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-07-25 |
| S65 | Uniform Investment Adviser Law Examination | 1997-09-29 |
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