EH
Elizabeth G. Hegarty
CITIZENS SECURITIES
Providence, RI 02906
Some features on this profile are disabled
CRD#: 1640996
EH
Professional summary
Elizabeth Girvin Hegarty, who also goes by Elizabeth S Girvin, Elizabeth St Clair Girvin, Elizabeth Stclair Girvin, Elizabeth Girvin, Elizabeth Girvin Hegarty, Elizabeth Hegarty, Elizabeth Hegarty, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Providence, Rhode Island.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Elizabeth has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth S Girvin | Elizabeth St Clair Girvin | Elizabeth Stclair Girvin | Elizabeth Girvin | Elizabeth Girvin Hegarty | Elizabeth Hegarty | Elizabeth Hegarty
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 Elizabeth Girvin Hegarty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Girvin Hegarty'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
August 4, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 120 Waterman Street, Providence, RI 02906RIA
BD
CRD#: 39550
Providence, RI
Current
August 4, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 120 Waterman Street, Providence, RI 02906RIA
BD
CRD#: 39550
Providence, RI
Past
September 12, 2019 - August 5, 2020
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Providence, RI
Past
September 12, 2019 - August 5, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Providence, RI
Past
April 12, 2018 - August 6, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, RI
Past
November 22, 2017 - August 6, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
Past
February 20, 2014 - July 27, 2017
SANTANDER SECURITIES LLC
BD
CRD#: 41791
East Providence, RI
Past
May 7, 1993 - April 18, 1994
WINGSPAN INVESTMENT SERVICES
BD
CRD#: 17516
Past
February 26, 1991 - November 17, 1992
FORTH FINANCIAL SECURITIES, CORPORATION
BD
CRD#: 14363
Past
February 8, 1990 - March 6, 1991
BISHOP SECURITIES, INC.
BD
CRD#: 24520
Past
October 21, 1987 - March 19, 1988
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
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(3/12/2025)
IAR
Florida(3/13/2025)
RR
Massachusetts(3/12/2025)
RR
Rhode Island(8/4/2020)
IAR
Rhode Island(8/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 39550Providence, RI 02906TRUST BUT VERIFY
Monitor Elizabeth Hegarty
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
