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Thomas Rafferty

Citizens Securities, Inc.

Rocky River, OH

Troy, MI

Birmingham, MI

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Current Employers
Citizens Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-06-01
NC RA APPROVED 2026-02-23
FL RA APPROVED 2025-11-19
MI RA APPROVED 2025-07-29
  • NY RA
    APPROVED
    Since 2026-06-01
  • NC RA
    APPROVED
    Since 2026-02-23
  • FL RA
    APPROVED
    Since 2025-11-19
  • MI RA
    APPROVED
    Since 2025-07-29

Branch Locations

21550 Center Ridge Road Ms: Ohb671, Rocky River, OH 44116 • United States

55 West Long Lake Rd. Long Lake/Livernois / Ms: Mib819, Troy, MI 48098 • United States

795 East Maple Road Mailstop: Mib812, Birmingham, MI 48009 • 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
Fidelity Brokerage Services, Llc Jacksonville FL 02/2014 07/2025
Fidelity Personal And Workplace Advisors Boston MA 07/2018 07/2025
Fidelity Investments Boston MA 03/2025 07/2025
Citizens Securities Inc., Troy MI 07/2025 Present
  • 02/2014 → 07/2025
    Fidelity Brokerage Services, Llc
    Jacksonville, FL
  • 07/2018 → 07/2025
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 03/2025 → 07/2025
    Fidelity Investments
    Boston, MA
  • 07/2025 → Present
    Citizens Securities Inc.,
    Troy, MI
Previous Registrations
  • 2025-03-31 → 2025-07-08
    Strategic Advisers Llc
    Farmington, MI
    Lake Orion, MI
    Boston, MA
  • 2018-07-13 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Boston, MA
    Lake Orion, MI
    Farmington, MI
  • 2014-10-07 → 2018-07-13
    Strategic Advisers Llc
    Jacksonville, FL
    Jacksonville, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-09-24
S63 Uniform Securities Agent State Law Examination 2014-04-04
  • S66 Uniform Combined State Law Examination
    2014-09-24
  • S63 Uniform Securities Agent State Law Examination
    2014-04-04
Designations
Other Names
  • Tom Rafferty
  • Thomas Alfred Rafferty

View on SEC IAPD

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Other Investors

MICHAEL OTOOLE LEAMON
BRADLEY HOWARD BARTEL
MATTHEW RICHARD HOWARD
SUSAN LEE PATCHEN
SPENCER HERBERT SEAMAN
RICHARD STEVEN MILLIGAN
WILLIAM RALPH MURMAN
ANTHONY JAMES GOLDYN

Other Offices

UBS FINANCIAL SERVICES INC. · ROCKY RIVER, OH
ZAK ADVISORY, LLC · ROCKY RIVER, OH
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Rocky River, OH
EDWARD JONES · ROCKY RIVER, OH
PROVIDENCE FINANCIAL SERVICES, LLC · ROCKY RIVER, OH
PROVIDENCE FINANCIAL SERVICES, LLC · Rocky River, OH
CLEVELAND CAPITAL MANAGEMENT, L.L.C. · ROCKY RIVER, OH
U.S. BANCORP ADVISORS, LLC · Rocky River, OH

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