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Current Employers
Citizens Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-08-25
CT RA APPROVED 2022-09-16
VA RA APPROVED 2022-08-18
MD RA APPROVED 2021-04-22
FL RA APPROVED 2019-03-26
RI RA APPROVED 2019-03-25
  • PA RA
    APPROVED
    Since 2023-08-25
  • CT RA
    APPROVED
    Since 2022-09-16
  • VA RA
    APPROVED
    Since 2022-08-18
  • MD RA
    APPROVED
    Since 2021-04-22
  • FL RA
    APPROVED
    Since 2019-03-26
  • RI RA
    APPROVED
    Since 2019-03-25

Branch Locations

1 Citizens Bank Way, Johnston, RI 02919 • United States

821 Main Street Mailstop: Ri-066, East Greenwich, RI 02818 • 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
Santander Bank Na Wakefield RI 09/2015 09/2016
Santander Securities Llc San Juan PR 09/2015 09/2016
Lpl Financial, Llc Newport RI 10/2016 03/2019
Flagship Harbor Advisors, Llc Portsmouth RI 10/2016 03/2019
Citizens Securities, Inc. East Greenwich RI 03/2019 Present
Previous Registrations
  • 2016-10-24 → 2019-03-31
    Newport, RI
    Boston, MA
    Portsmouth, RI
  • 2015-09-22 → 2016-10-03
    Coventry, RI
    Wakefield, RI
    Worcester, MA
    East Greenwich, RI
  • 2010-01-28 → 2015-09-10
    West Warwick, RI
    Warwick, RI
    Coventry, RI
    N. Providence, RI
    N. Providence, RI
  • 2008-05-27 → 2010-01-19
    Little Compton, RI
    Middletown, RI
    East Providence, RI
    Barrington, RI
    Newport, RI
    Bristol, RI
  • 2006-09-26 → 2008-05-27
    Ifmg Securities, Inc.
    Newport, RI
    Little Compton, RI
    Bristol, RI
    Barrington, RI
    Bristol, RI
    Little Compton, RI
    Barrington, RI
    Middletown, RI
    East Providence, RI
  • 2004-10-20 → 2006-03-06
    Banc Of America Investment Services, Inc.
    Middletown, RI
  • 2002-12-09 → 2004-10-20
    Quick & Reilly, Inc.
    Providence, RI
Other Businesses

Potter League - Board of Directors; 2 hrs/month; Zero compensation; Start date: 03/2019.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-02-02
  • S66 Uniform Combined State Law Examination
    2001-02-02

View on SEC IAPD

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