Kenneth Robert Carlson

Employer firm

Citizens Securities, Inc. CRD 39550

$12.9B regulatory AUM 60,545 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers
PARTICIPATE IN WRAP FEE PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers

Citizens Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
ND	RA	APPROVED	2025-04-08
WV	RA	APPROVED	2025-04-02
FL	RA	APPROVED	2025-04-01
GA	RA	APPROVED	2025-04-01
LA	RA	APPROVED	2025-04-01
NE	RA	APPROVED	2025-04-01
NV	RA	APPROVED	2025-04-01
NM	RA	APPROVED	2025-04-01
OH	RA	APPROVED	2025-04-01
AL	RA	APPROVED	2025-03-31
AK	RA	APPROVED	2025-03-31
AR	RA	APPROVED	2025-03-31
CA	RA	APPROVED	2025-03-31
CO	RA	APPROVED	2025-03-31
CT	RA	APPROVED	2025-03-31
DE	RA	APPROVED	2025-03-31
HI	RA	APPROVED	2025-03-31
ID	RA	APPROVED	2025-03-31
IL	RA	APPROVED	2025-03-31
IN	RA	APPROVED	2025-03-31
IA	RA	APPROVED	2025-03-31
KS	RA	APPROVED	2025-03-31
KY	RA	APPROVED	2025-03-31
ME	RA	APPROVED	2025-03-31
MD	RA	APPROVED	2025-03-31
MI	RA	APPROVED	2025-03-31
MN	RA	APPROVED	2025-03-31
MS	RA	APPROVED	2025-03-31
MO	RA	APPROVED	2025-03-31
MT	RA	APPROVED	2025-03-31
NH	RA	APPROVED	2025-03-31
NJ	RA	APPROVED	2025-03-31
NY	RA	APPROVED	2025-03-31
NC	RA	APPROVED	2025-03-31
OK	RA	APPROVED	2025-03-31
OR	RA	APPROVED	2025-03-31
PA	RA	APPROVED	2025-03-31
PR	RA	APPROVED	2025-03-31
SC	RA	APPROVED	2025-03-31
SD	RA	APPROVED	2025-03-31
TX	RA	APPROVED	2025-03-31
UT	RA	APPROVED	2025-03-31
VT	RA	APPROVED	2025-03-31
VA	RA	APPROVED	2025-03-31
WA	RA	APPROVED	2025-03-31
WI	RA	APPROVED	2025-03-31
WY	RA	APPROVED	2025-03-31
RI	RA	APPROVED	2023-07-17

ND RA
APPROVED

Since 2025-04-08
WV RA
APPROVED

Since 2025-04-02
FL RA
APPROVED

Since 2025-04-01
GA RA
APPROVED

Since 2025-04-01
LA RA
APPROVED

Since 2025-04-01
NE RA
APPROVED

Since 2025-04-01
NV RA
APPROVED

Since 2025-04-01
NM RA
APPROVED

Since 2025-04-01
OH RA
APPROVED

Since 2025-04-01
AL RA
APPROVED

Since 2025-03-31
AK RA
APPROVED

Since 2025-03-31
AR RA
APPROVED

Since 2025-03-31
CA RA
APPROVED

Since 2025-03-31
CO RA
APPROVED

Since 2025-03-31
CT RA
APPROVED

Since 2025-03-31
DE RA
APPROVED

Since 2025-03-31
HI RA
APPROVED

Since 2025-03-31
ID RA
APPROVED

Since 2025-03-31
IL RA
APPROVED

Since 2025-03-31
IN RA
APPROVED

Since 2025-03-31
IA RA
APPROVED

Since 2025-03-31
KS RA
APPROVED

Since 2025-03-31
KY RA
APPROVED

Since 2025-03-31
ME RA
APPROVED

Since 2025-03-31
MD RA
APPROVED

Since 2025-03-31
MI RA
APPROVED

Since 2025-03-31
MN RA
APPROVED

Since 2025-03-31
MS RA
APPROVED

Since 2025-03-31
MO RA
APPROVED

Since 2025-03-31
MT RA
APPROVED

Since 2025-03-31
NH RA
APPROVED

Since 2025-03-31
NJ RA
APPROVED

Since 2025-03-31
NY RA
APPROVED

Since 2025-03-31
NC RA
APPROVED

Since 2025-03-31
OK RA
APPROVED

Since 2025-03-31
OR RA
APPROVED

Since 2025-03-31
PA RA
APPROVED

Since 2025-03-31
PR RA
APPROVED

Since 2025-03-31
SC RA
APPROVED

Since 2025-03-31
SD RA
APPROVED

Since 2025-03-31
TX RA
APPROVED

Since 2025-03-31
UT RA
APPROVED

Since 2025-03-31
VT RA
APPROVED

Since 2025-03-31
VA RA
APPROVED

Since 2025-03-31
WA RA
APPROVED

Since 2025-03-31
WI RA
APPROVED

Since 2025-03-31
WY RA
APPROVED

Since 2025-03-31
RI RA
APPROVED

Since 2023-07-17

Branch Locations

1 Citizens Bank Way, 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

Organization	City	State	From	To
Citizens Bank, N.A	Johnston	RI	04/2023	11/2023
Citizens Bank, N/A	Pawtucket	RI	11/2023	03/2025
Citizens Securities, Inc.	Johnston	RI	03/2025	Present
Unemployed	Worcester	MA	10/2019	12/2019
Citizens Securities, Inc.	Westwood	MA	04/2023	03/2025
Worcester Public School Dept	Worcester	MA	09/2018	09/2019
Aaa Northeast Bank	Providence	RI	01/2020	03/2023
Freelance Contractor	Worcester	MA	05/2009	09/2018

04/2023 → 11/2023

Citizens Bank, N.A

Johnston, RI
11/2023 → 03/2025

Citizens Bank, N/A

Pawtucket, RI
03/2025 → Present

Citizens Securities, Inc.

Johnston, RI
10/2019 → 12/2019

Unemployed

Worcester, MA
04/2023 → 03/2025

Citizens Securities, Inc.

Westwood, MA
09/2018 → 09/2019

Worcester Public School Dept

Worcester, MA
01/2020 → 03/2023

Aaa Northeast Bank

Providence, RI
05/2009 → 09/2018

Freelance Contractor

Worcester, MA

Previous Registrations

2006-03-15 → 2009-05-07

Banc Of America Investment Services, Inc.

Providence, RI

East Providence, RI

Lincoln, RI

Boston, MA

Lincoln, RI

Westerly, RI

Providence, RI

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-07-10

S66 Uniform Combined State Law Examination

2023-07-10

View on SEC IAPD