KC
Kenneth J. Chodzin
CITIZENS SECURITIES
Cleveland, OH 44111
Some features on this profile are disabled
CRD#: 1221020
KC
Professional summary
Kenneth James Chodzin is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Cleveland, Ohio.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 24, Series 8 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The Eugene R Chodzin Living Trust - Co - Trustee Responsibilities : None Only available for questions if father is not available. POA for Eugene R Chodzin (father).
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth James Chodzin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth James Chodzin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 30, 2017 - Present
CITIZENS SECURITIES, INC.
Office #1: 17411 Lorain Avenue, Cleveland, OH 44111Office #2: 14534 Madison Avenue, Lakewood, OH 44107Office #3: 4106 Pearl Road, Cleveland, OH 44109Office #4: 12222 Madison Avenue Ms: Ohb645, Lakewood, OH 44107Office #5: 2000 East 9th Street Ms: Ohb360, Cleveland, OH 44115RIA
BD
CRD#: 39550
Cleveland, OH
Current
November 30, 2017 - Present
CITIZENS SECURITIES, INC.
Office #1: 17411 Lorain Avenue, Cleveland, OH 44111Office #2: 14534 Madison Avenue, Lakewood, OH 44107Office #3: 4106 Pearl Road, Cleveland, OH 44109Office #4: 12222 Madison Avenue Ms: Ohb645, Lakewood, OH 44107Office #5: 2000 East 9th Street Ms: Ohb360, Cleveland, OH 44115RIA
BD
CRD#: 39550
Cleveland, OH
Past
October 1, 2012 - October 11, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
TWINSBURG, OH
Past
October 1, 2012 - October 11, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
TWINSBURG, OH
Past
November 9, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
HUDSON, OH
Past
November 8, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HUDSON, OH
Past
August 18, 2003 - March 20, 2006
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
BEACHWOOD, OH
Past
August 22, 1984 - March 20, 2006
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
BEACHWOOD, OH
Past
December 15, 1983 - May 4, 1984
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/18/2023)
IAR
Arizona(1/19/2023)
RR
Florida(3/9/2018)
IAR
Florida(3/13/2018)
RR
Georgia(2/27/2024)
IAR
Georgia(2/29/2024)
RR
Michigan(11/30/2017)
IAR
Michigan(12/12/2017)
RR
Ohio(11/30/2017)
IAR
Ohio(11/30/2017)
RR
Pennsylvania(9/20/2018)
IAR
Pennsylvania(9/21/2018)
RR
South Carolina(1/31/2022)
IAR
South Carolina(2/1/2022)
RR
Texas(12/12/2022)
IAR
Texas(12/13/2022)
RR
Virginia(8/2/2024)
IAR
Virginia(8/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/11/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
