Jon D. Foster

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CRD#: 2023576

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.

Jon D Foster, who also goes by Jon David Foster, was a registered financial professional .

Jon is a previously registered financial professional and started their career in finance in 1990. Jon had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 23, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon David Foster

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.

Name: Rental property on new home purchase, Role: Owner of property, Type: Rental Property, Start Date: 08/21/2021, Investment Related?: No, Address: 2942 Deer Point Drive, Seabrook Island, SC 29455, Number of Hours/Mo: 2, Duties: Ownership of the property. All rental duties will be performed by a local management company.

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

March 26, 2024 - October 7, 2025

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

CONSHOHOCKEN, PA

Past

March 26, 2024 - October 7, 2025

CITIZENS SECURITIES, INC.

CRD#: 39550

CONSHOHOCKEN, PA

Past

December 20, 2021 - June 7, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Marlton, NJ

Past

October 4, 2021 - June 7, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Marlton, NJ

Past

August 31, 2009 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Marlton, NJ

Past

August 31, 2009 - June 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Marlton, NJ

Past

August 28, 2009 - June 7, 2023

TD AMERITRADE, INC.

CRD#: 7870

Marlton, NJ

Past

December 15, 2006 - February 9, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

EAST BRUNSWICK, NJ

Past

December 15, 2006 - February 9, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

EAST BRUNSWICK, NJ

Past

July 11, 2006 - December 20, 2006

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

LINWOOD, NJ

Past

July 11, 2006 - December 20, 2006

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

LINWOOD, NJ

Past

June 7, 2004 - May 26, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NORTHFIELD, NJ

Past

November 8, 1990 - May 26, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

NORTHFIELD, NJ

Past

October 1, 1990 - November 28, 1990

LEGEND MERCHANT GROUP, INC.

CRD#: 5155

NEW YORK, NY

Past

July 27, 1990 - November 30, 1993

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

February 16, 1990 - August 1, 1990

MLB INVESTMENTS, LTD.

CRD#: 18280

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: 10/15/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/1/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/13/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/10/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 23

Date: 4/30/2007

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 10

Date: 11/23/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/22/1999

General Securities Sales Supervisor - Options Module 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

Jon D. Foster

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

LEGEND MERCHANT GROUP, INC.

VANDERBILT SECURITIES, INC.

MLB INVESTMENTS, LTD.

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2002

Series 63

Date: 3/1/1990

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/13/2006

Series 7

Date: 2/10/1990

Series 23

Date: 4/30/2007

Series 10

Date: 11/23/1999

Series 9

Date: 11/22/1999

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.

TRUST BUT VERIFY

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