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One Citizens Bank Way Jcb135, Johnston, RI 02919 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2026-05-29 |
| FL | RA | APPROVED | 2026-02-18 |
| CT | RA | APPROVED | 2026-02-17 |
| RI | RA | APPROVED | 2026-02-17 |
Branch Locations
15 South Main St. Mailstop: Ct-261, West Hartford, CT 06107 • United States
1 Citizens Bank Way, Johnston, RI 02919 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| St Thomas More Church | Darien | CT | 01/2008 | 12/2022 |
| Oasis | Elmsford | NY | 09/2015 | 05/2017 |
| Metlife | Elmsford | NY | 10/2015 | 05/2017 |
| Mml Investor Services Llc | Elmsford | NY | 03/2017 | 03/2018 |
| Barnum Financial Group | Elmsford | NY | 09/2015 | 03/2018 |
| Robert Roth | West Hartford | CT | 03/2018 | 07/2024 |
| Northwestern Mutual Invesment Services Llc | West Hartford | CT | 03/2018 | 11/2025 |
| Alex Roth | West Hartford | CT | 12/2023 | 11/2025 |
| Brandon Ngai | West Hartford | CT | 08/2024 | 11/2025 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 08/2024 | 11/2025 |
| Citizens Securities, Inc. | West Hartford | CT | 12/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-30 |
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