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One Citizens Bank Way Jcb135, Johnston, RI 02919 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2025-11-10 |
| CT | RA | APPROVED | 2025-11-07 |
| NY | RA | APPROVED | 2025-11-07 |
| SC | RA | APPROVED | 2025-11-07 |
| AZ | RA | APPROVED | 2025-11-06 |
| CA | RA | APPROVED | 2025-11-06 |
| FL | RA | APPROVED | 2025-11-06 |
| PA | RA | APPROVED | 2025-11-06 |
| KS | RA | APPROVED | 2025-11-05 |
| NJ | RA | APPROVED | 2025-11-05 |
Branch Locations
1400 Newport Center Drive, Suite 150 Ca544, Newport Beach, CA 92660 • United States
One Lincoln Center 110 W Fayette St. Ste 1230, Ms: *Nys100, Syracuse, NY 13202 • United States
520 White Plains Road 3Rd Floor, Tarrytown, NY 10591 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-11-06 |
Branch Locations
1400 Newport Center Drive, Suite 150, Newport Beach, CA 92660 • United States
520 White Plains Road 3Rd Floor, Tarrytown, NY 10591 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Laguna Beach | CA | 09/2014 | 11/2017 |
| Jpmorgan Chase Bank | Laguna Beach | CA | 09/2014 | 11/2017 |
| Citigroup | Mission Viejo | CA | 12/2017 | 10/2025 |
| Citizens Bank | Newport Beach | CA | 11/2025 | Present |
| Citizens Securities, Inc. | Newport Beach | CA | 11/2025 | Present |
| Citizens Private Wealth | Newport Beach | CA | 11/2025 | Present |
1. Name of OBA: Azimut Ventures, LLC Position: Member / 50% Owner Type of Entity: LLC Responsibilities of Position: LLC holding title on boat in Newport Beach, CA. Wife, Michelle, to manage upkeep. IRS EIN issued 41-25542446 and name approved by CA as there is no association with either states. Monthly Compensation / Net Profit: $0 Date of Initial Involvement: 11/12/2025 Approximate Amount of Time Devoted on a Monthly Basis: 0 2. Name of OBA: Suite Energy LLC Position: 50% owner/member Type of Entity: LLC Responsibilities of Position: N/A - Michell (wife and 50% owner/managing member) manages the day to day for the ticket reselling on multiple platforms Monthly Compensation / Net Profit: $0 Date of Initial Involvement: 11/15/2025 Approximate Amount of Time Devoted on a Monthly Basis: 0
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-06-30 |
| S63 | Uniform Securities Agent State Law Examination | 2013-02-02 |
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