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Kathi Sterns

Citizens Securities, Inc.

Worcester, MA

West Palm Beach, FL

CRD 8210976

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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

AuthorityCategoryStatusDate
RI RA APPROVED 2026-07-20
  • RI RA
    APPROVED
    Since 2026-07-20

Branch Locations

940 West Boylston Street, Worcester, MA 01606 • United States

777 S Flagler Drive Suite #142, West Palm Beach, FL 33401 • 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
Citizens Securities, Inc. Worcester MA 01/2026 Present
Citizens Bank Worcester MA 12/2019 Present
Bed Bath And Beyond Leominster MA 07/2005 12/2019
  • 01/2026 → Present
    Citizens Securities, Inc.
    Worcester, MA
  • 12/2019 → Present
    Citizens Bank
    Worcester, MA
  • 07/2005 → 12/2019
    Bed Bath And Beyond
    Leominster, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-07-19
  • S66 Uniform Combined State Law Examination
    2026-07-19

View on SEC IAPD

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