Mary Jane Healy

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CRD#: 1904119

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.

Mary Jane Healy, who also goes by Mary Jane Healy, Maryjane Healy, was a registered financial professional .

Mary Jane is a previously registered financial professional and started their career in finance in 1991. Mary Jane had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 62 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mary Jane Healy | Maryjane Healy

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

November 10, 2015 - June 15, 2016

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

EAST PROVIDENCE, RI

Past

November 3, 2015 - June 15, 2016

CITIZENS SECURITIES, INC.

CRD#: 39550

EAST PROVIDENCE, RI

Past

October 20, 2014 - January 22, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

WALTHAM, MA

Past

September 24, 2014 - January 22, 2015

LPL FINANCIAL LLC

CRD#: 6413

WALTHAM, MA

Past

October 2, 2009 - October 5, 2012

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

October 1, 2009 - October 5, 2012

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

NEW YORK, NY

Past

July 18, 2001 - December 31, 2003

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA

CRD#: 106562

CHICAGO, IL

Past

July 18, 2001 - July 14, 2008

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

December 15, 1999 - July 14, 2008

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

July 29, 1997 - October 15, 1999

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

August 15, 1994 - July 1, 1997

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

October 1, 1991 - May 31, 1994

COLONIAL INVESTMENT SERVICES

CRD#: 25929

Past

March 20, 1991 - July 10, 1991

KRUPP SECURITIES CORPORATION

CRD#: 10908

BOSTON, MA

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

IAR

Series 65

Date: 11/8/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/22/1991

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 62

Date: 1/3/1991

Corporate Securities Limited Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/12/1997

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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Firm Stability Insights

Mary Jane Healy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

RITTENHOUSE ASSET MANAGEMENT, INC.

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

COLONIAL INVESTMENT SERVICES

KRUPP SECURITIES CORPORATION

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/8/2000

Series 63

Date: 12/26/1990

SIE

Date: 6/15/2016

Series 7

Date: 9/27/1993

Series 6

Date: 11/22/1991

Series 62

Date: 1/3/1991

Series 24

Date: 8/12/1997

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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