Charles J. Slany

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CRD#: 2061465

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.

Charles Jasper Slany JR, who also goes by Charles J Slany, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1990. Charles had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles J Slany

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

September 2, 2020 - May 18, 2021

CITIZENS SECURITIES, INC.

CRD#: 39550

FAIRVIEW PARK, OH

Past

September 1, 2020 - May 18, 2021

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

FAIRVIEW PARK, OH

Past

January 24, 2018 - December 6, 2018

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PARMA, OH

Past

January 24, 2018 - December 6, 2018

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PARMA, OH

Past

May 4, 2016 - December 20, 2017

THE HUNTINGTON INVESTMENT COMPANY

RIA

CRD#: 16986

CLEVELAND, OH

Past

May 3, 2016 - December 20, 2017

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

CLEVELAND, OH

Past

June 5, 2014 - April 1, 2016

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

STRONGSVILLE, OH

Past

June 5, 2014 - April 1, 2016

KEY INVESTMENT SERVICES LLC

CRD#: 136300

STRONGSVILLE, OH

Past

November 15, 2013 - June 4, 2014

L&M FINANCIAL SERVICES

CRD#: 26247

PARMA, OH

Past

May 12, 2010 - October 31, 2013

FINTEGRA, LLC

RIA

CRD#: 16741

STRONGVILLE, OH

Past

May 12, 2010 - October 31, 2013

FINTEGRA, LLC

CRD#: 16741

STRONGVILLE, OH

Past

December 4, 2007 - March 30, 2010

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

COLUMBUS, OH

Past

December 3, 2007 - March 30, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

COLUMBUS, OH

Past

October 25, 2002 - December 18, 2007

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

CLEVELAND, OH

Past

September 5, 2001 - December 18, 2007

FERRIS, BAKER WATTS, LLC

CRD#: 285

CLEVELAND, OH

Past

July 24, 1997 - September 5, 2001

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 9, 1994 - July 24, 1997

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

May 22, 1990 - September 28, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, 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

IAR

Series 65

Date: 12/14/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1990

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: 5/19/1990

General Securities Representative 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

Charles J. Slany

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

L&M FINANCIAL SERVICES

FINTEGRA, LLC

FINTEGRA, LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

A. G. EDWARDS & SONS, INC.

KEYBANC CAPITAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/1992

Series 63

Date: 6/4/1990

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1990

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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