Scott B. Roach

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CRD#: 1638148

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott Boyd Roach, who also goes by Scott B Roach, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1987. Scott had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott B Roach

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 12, 2010 - July 22, 2021

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

WASHINGTON, PA

Past

February 12, 2010 - July 22, 2021

CITIZENS SECURITIES, INC.

CRD#: 39550

WASHINGTON, PA

Past

October 3, 2006 - January 30, 2009

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

PITTSBURGH, PA

Past

March 28, 2006 - January 30, 2009

CITIZENS SECURITIES, INC.

CRD#: 39550

PITTSBURGH, PA

Past

December 8, 2005 - January 13, 2006

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

WASHINGTON, PA

Past

October 24, 2005 - January 13, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WASHINGTON, PA

Past

March 2, 2004 - October 24, 2005

BLUE VASE SECURITIES, LLC

CRD#: 46765

WASHINGTON, PA

Past

January 17, 2002 - December 19, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

July 10, 1998 - January 7, 2002

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 8, 1998 - June 24, 1998

DOO FINANCIAL US, INC.

CRD#: 24409

FORT WORTH, TX

Past

September 18, 1996 - November 14, 1997

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

August 2, 1996 - November 13, 1997

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

March 12, 1993 - August 27, 1996

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 12, 1993 - August 27, 1996

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

March 27, 1987 - April 20, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

CITIZENS SECURITIES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/12/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/26/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 2/21/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/15/1999

General Securities Principal Examination

Current Firm

CITIZENS SECURITIES, INC.

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSI ADVISORY SOLUTIONS MANAGED ACCOUNT PROGRAM BROCHURE 6242025 (6/23/2025)

CSI FORM ADV DIGITAL ADVISORY PROGRAM BROCHURE 2142025 (2/13/2025)

Direct owners and executive officers

Name	Position	CRD#
CITIZENS BANK, N.A.	DIRECT OWNERSHIP
ARNOLD, CHAD	COO WEALTH, EXECUTIVE VICE PRESIDENT	3076401
CARVALHO, KEVIN JOHN	CHIEF FINANCIAL OFFICER	6115556
CHERNY, MICHAEL	PRESIDENT	4864410
SHORE, DAVID HOWARD	CHIEF COMPLIANCE OFFICER	2106767

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.

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Advisor Monitoring

Firm Stability Insights

Scott B. Roach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

BLUE VASE SECURITIES, LLC

VERAVEST INVESTMENTS, INC.

LPL FINANCIAL LLC

DOO FINANCIAL US, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

NATCITY INVESTMENTS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/12/1987

SIE

Date: 10/1/2018

Series 7

Date: 12/5/1995

Series 6

Date: 3/26/1987

Series 51

Date: 2/21/2003

Series 24

Date: 9/15/1999

Current Firm

CITIZENS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CITIZENS SECURITIES, INC.

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