TT
Terence W. Tinkham
CITIZENS SECURITIES
EAST GREENWICH, RI 02818
Some features on this profile are disabled
CRD#: 1733863
TT
Professional summary
Terence William Tinkham is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in East Greenwich, Rhode Island.
Terence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Terence has worked at 8 firms and has passed the Series 66, SIE and Series 7 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.
Potter League - Board of Directors; 2 hrs/month; Zero compensation; Start date: 03/2019.
CRS (Client Relationship Summary) - RIA
Click below to view Terence William Tinkham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Terence William Tinkham'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
March 25, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 821 Main Street Mailstop: Ri-066, East Greenwich, RI 02818RIA
BD
CRD#: 39550
EAST GREENWICH, RI
Current
March 25, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 821 Main Street Mailstop: Ri-066, East Greenwich, RI 02818RIA
BD
CRD#: 39550
EAST GREENWICH, RI
Past
October 24, 2016 - March 31, 2019
FLAGSHIP HARBOR ADVISORS, LLC
RIA
CRD#: 155733
PORTSMOUTH, RI
Past
October 3, 2016 - April 15, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
PORTSMOUTH, RI
Past
September 22, 2015 - October 3, 2016
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
COVENTRY, RI
Past
September 22, 2015 - October 3, 2016
SANTANDER SECURITIES LLC
BD
CRD#: 41791
COVENTRY, RI
Past
January 28, 2010 - September 10, 2015
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
WARWICK, RI
Past
January 28, 2010 - September 10, 2015
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
WARWICK, RI
Past
May 27, 2008 - January 19, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
LITTLE COMPTON, RI
Past
May 27, 2008 - January 19, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
LITTLE COMPTON, RI
Past
September 26, 2006 - May 27, 2008
IFMG SECURITIES, INC.
RIA
CRD#: 14416
EAST PROVIDENCE, RI
Past
March 20, 2006 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
EAST PROVIDENCE, RI
Past
October 20, 2004 - March 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
MIDDLETOWN, RI
Past
October 20, 2004 - March 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
December 9, 2002 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
PROVIDENCE, RI
Past
November 18, 2002 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
January 10, 2001 - November 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Connecticut(9/15/2022)
IAR
Connecticut(9/16/2022)
RR
Florida(3/25/2019)
IAR
Florida(3/26/2019)
RR
Maryland(4/22/2021)
IAR
Maryland(4/22/2021)
RR
Massachusetts(3/25/2019)
RR
Pennsylvania(8/24/2023)
IAR
Pennsylvania(8/25/2023)
RR
Rhode Island(3/25/2019)
IAR
Rhode Island(3/25/2019)
RR
Virginia(8/17/2022)
IAR
Virginia(8/18/2022)
Exams
State Security Law 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)
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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.
