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Daniel Joseph Plis

Citizens Securities, Inc.

West Hartford, CT

Johnston, RI

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Current Employers
Citizens Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-10-26
  • CT RA
    APPROVED
    Since 2023-10-26

Branch Locations

15 South Main St. Mailstop: Ct-261, West Hartford, CT 06107 • United States

One Citizens Bank Way Jcb135, Johnston, RI 02919 • 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
Pnc Investments Louisville KY 11/2014 12/2022
Citizens Securities, Inc. Prospect KY 12/2022 Present
Previous Registrations
  • 2014-12-11 → 2023-01-03
    Pnc Wealth Management Llc
    Louisville, KY
    Sciotoville, OH
    Chesapeake, OH
    Coal Grove, OH
    Ashland, KY
    Lexington, KY
    Louisville, KY
    Louisville, KY
    Louisville, KY
    Louisville, KY
    Louisville, KY
  • 2012-06-13 → 2014-08-14
    Lpl Financial Llc
    Buffalo, NY
  • 2010-04-05 → 2010-07-07
    M&T Securities, Inc.
    Baltimore, MD
    Baltimore, MD
    Buffalo, NY
Other Businesses

Trustee - Supplemental Needs trust for Nephew Jeffrey Plis.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-02
S63 Uniform Securities Agent State Law Examination 1993-01-13
  • S66 Uniform Combined State Law Examination
    2010-04-02
  • S63 Uniform Securities Agent State Law Examination
    1993-01-13

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC · WEST HARTFORD, CT
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