RR
Roberto R. Rizza
CITIZENS SECURITIES
Sterling Heights, MI 48314
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CRD#: 1375605
RR
Professional summary
Roberto Ricardo Rizza, who also goes by Roberto Ricardo Rizza Mr., is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Sterling Heights, Michigan.
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Roberto has worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 31, Series 55, Series 7 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roberto Ricardo Rizza Mr.
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 advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Ricardo Rizza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roberto Ricardo Rizza'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
September 11, 2015 - Present
CITIZENS SECURITIES, INC.
Office #1: 2225 18 Mile Rd. Mailstop: Mib807, Sterling Heights, MI 48314RIA
BD
CRD#: 39550
Sterling Heights, MI
Current
September 8, 2015 - Present
CITIZENS SECURITIES, INC.
Office #1: 2225 18 Mile Rd. Mailstop: Mib807, Sterling Heights, MI 48314RIA
BD
CRD#: 39550
Sterling Heights, MI
Past
May 7, 2013 - August 21, 2015
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
ROSEVILLE, MI
Past
April 30, 2013 - August 21, 2015
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
ROSEVILLE, MI
Past
July 30, 2012 - April 29, 2013
L.M. KOHN & COMPANY
RIA
CRD#: 27913
TROY, MI
Past
July 12, 2012 - April 29, 2013
L.M. KOHN & COMPANY
BD
CRD#: 27913
TROY, MI
Past
January 10, 2012 - July 18, 2012
LEONARD & COMPANY
RIA
CRD#: 36527
TROY, MI
Past
January 3, 2012 - July 18, 2012
LEONARD & COMPANY
BD
CRD#: 36527
TROY, MI
Past
November 12, 2008 - January 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CLINTON TOWNSHIP, MI
Past
July 15, 2008 - January 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CLINTON TOWNSHIP, MI
Past
June 21, 2005 - July 31, 2006
IFMG SECURITIES, INC.
BD
CRD#: 14416
FLINT, MI
Past
January 1, 1999 - September 8, 2003
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
April 25, 1988 - January 1, 1999
FIRST OF MICHIGAN CORPORATION
BD
CRD#: 311
DETROIT, MI
Past
September 26, 1986 - February 10, 1988
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
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
Florida(4/20/2022)
IAR
Florida(4/21/2022)
RR
Georgia(1/4/2021)
IAR
Georgia(1/5/2021)
RR
Michigan(9/8/2015)
IAR
Michigan(9/11/2015)
RR
New Jersey(11/17/2016)
IAR
New Jersey(11/18/2016)
RR
Ohio(8/4/2022)
IAR
Ohio(8/4/2022)
RR
Pennsylvania(9/19/2024)
IAR
Pennsylvania(9/20/2024)
RR
Virginia(9/29/2025)
IAR
Virginia(9/29/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/10/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550Sterling Heights, MI 48314TRUST BUT VERIFY
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Contact information
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