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Citizens Securities, Inc. CRD 39550
$12.9B regulatory AUM 60,545 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One Citizens Bank Way Jcb135, Johnston, RI 02919 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-05-11 |
| CO | RA | APPROVED | 2026-05-11 |
| WA | RA | APPROVED | 2026-05-11 |
Branch Locations
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 |
|---|---|---|---|
| CO | RA | APPROVED | 2026-05-11 |
Branch Locations
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 |
|---|---|---|---|---|
| First Republic Securities Company, Llc | San Francisco | CA | 03/2017 | 10/2023 |
| Unemployed | Napa | CA | 08/2016 | 03/2017 |
| J.P. Morgan Securities Llc | San Francisco | CA | 09/2023 | 07/2024 |
| Lion Street Financial | Austin | TX | 08/2024 | 04/2025 |
| Citizens Bank | Denver | CO | 05/2026 | Present |
| Citizens Securities, Inc. | Denver | CO | 05/2026 | Present |
| Citizens Private Wealth | Denver | CO | 05/2026 | Present |
| Blue Ocean Companies, Llc | Bellevue | WA | 08/2024 | 05/2026 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-04-27 |
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