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Current Employers
Citizens Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2023-11-21
FL RA APPROVED 2023-07-14
OH RA APPROVED 2023-05-12
TX RA APPROVED_RES 2023-03-23
NV RA APPROVED 2022-10-06
NY RA APPROVED 2021-04-08
GA RA APPROVED 2020-01-10
NC RA APPROVED 2020-01-06
  • SC RA
    APPROVED
    Since 2023-11-21
  • FL RA
    APPROVED
    Since 2023-07-14
  • OH RA
    APPROVED
    Since 2023-05-12
  • TX RA
    APPROVED_RES
    Since 2023-03-23
  • NV RA
    APPROVED
    Since 2022-10-06
  • NY RA
    APPROVED
    Since 2021-04-08
  • GA RA
    APPROVED
    Since 2020-01-10
  • NC RA
    APPROVED
    Since 2020-01-06

Branch Locations

One Lincoln Center 110 W Fayette St. Ste 1230, Ms: *Nys100, Syracuse, NY 13202 • United States

711 West Miller Street Ms: Nyr130, Newark, NY 14513 • United States

66 West Main Street Ms: Nyr135, Webster, NY 14580 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Citizens Securities,Inc. Pittsburgh PA 01/2016 12/2017
Citizens Bank Pittsburgh PA 01/2016 12/2017
Citizens Securities Inc. Rochester NY 12/2017 05/2021
Citizens Bank Rochester NY 12/2017 05/2021
Citizens Securities, Inc. Newark NY 05/2021 Present
  • 01/2016 → 12/2017
    Citizens Securities,Inc.
    Pittsburgh, PA
  • 01/2016 → 12/2017
    Citizens Bank
    Pittsburgh, PA
  • 12/2017 → 05/2021
    Rochester, NY
  • 12/2017 → 05/2021
    Citizens Bank
    Rochester, NY
  • 05/2021 → Present
    Newark, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-06-06
S63 Uniform Securities Agent State Law Examination 2010-10-07
  • S65 Uniform Investment Adviser Law Examination
    2012-06-06
  • S63 Uniform Securities Agent State Law Examination
    2010-10-07
Other Names
  • James Finlay

View on SEC IAPD

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