JR
James R. Rubinton
CITIZENS SECURITIES
NAPLES, FL 34103
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CRD#: 2291542
JR
Professional summary
James Robert Rubinton, who also goes by James R Rubinton, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Naples, Florida and CITIZENS PRIVATE WEALTH located in Naples, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James R Rubinton
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 James Robert Rubinton'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
January 17, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 4501 Tamiami Trl N, Naples, FL 34103RIA
BD
CRD#: 39550
NAPLES, FL
Current
March 7, 2025 - Present
CITIZENS PRIVATE WEALTH
Office #1: 4501 Tamiami Trl N, Naples, FL 34103RIA
CRD#: 106743
NAPLES, FL
Current
January 17, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 4501 Tamiami Trl N, Naples, FL 34103RIA
BD
CRD#: 39550
NAPLES, FL
Past
April 1, 2015 - January 29, 2025
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
NAPLES, FL
Past
April 1, 2015 - January 29, 2025
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NAPLES, FL
Past
May 13, 2005 - April 10, 2015
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NAPLES, FL
Past
May 13, 2005 - April 10, 2015
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NAPLES, FL
Past
December 18, 1992 - May 16, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NAPLES, FL
Past
December 11, 1992 - May 16, 2005
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".
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - (2/20/1992 Approved)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
Alabama(1/17/2025)
IAR
Alabama(3/18/2025)
RR
Arizona(1/17/2025)
IAR
Arizona(3/27/2025)
RR
California(1/17/2025)
IAR
California(3/20/2025)
RR
Colorado(1/17/2025)
IAR
Colorado(3/19/2025)
RR
Connecticut(1/17/2025)
IAR
Connecticut(3/19/2025)
RR
Delaware(1/17/2025)
IAR
Delaware(3/20/2025)
RR
Florida(1/17/2025)
IAR
Florida(1/21/2025)
RR
Georgia(1/21/2025)
IAR
Georgia(3/19/2025)
RR
Illinois(1/21/2025)
IAR
Illinois(3/19/2025)
RR
Indiana(1/23/2025)
IAR
Indiana(3/19/2025)
RR
Iowa(2/13/2025)
IAR
Iowa(3/20/2025)
RR
Kansas(1/17/2025)
IAR
Kansas(3/18/2025)
RR
Maryland(1/17/2025)
IAR
Maryland(3/19/2025)
RR
Massachusetts(1/17/2025)
RR
Michigan(1/17/2025)
IAR
Michigan(3/21/2025)
RR
Minnesota(1/30/2025)
IAR
Minnesota(3/18/2025)
RR
Mississippi(1/17/2025)
IAR
Mississippi(3/19/2025)
RR
Missouri(1/17/2025)
RR
New Hampshire(1/17/2025)
IAR
New Hampshire(3/20/2025)
RR
New Jersey(1/17/2025)
IAR
New Jersey(3/18/2025)
RR
New York(1/17/2025)
IAR
New York(3/18/2025)
RR
North Carolina(1/17/2025)
IAR
North Carolina(3/19/2025)
RR
Ohio(1/17/2025)
IAR
Ohio(3/18/2025)
RR
Oregon(1/17/2025)
IAR
Oregon(3/20/2025)
RR
Pennsylvania(1/17/2025)
IAR
Pennsylvania(3/19/2025)
RR
Rhode Island(1/17/2025)
IAR
Rhode Island(3/19/2025)
RR
Tennessee(1/17/2025)
RR
Texas(1/17/2025)
IAR
Texas(1/17/2025)
RR
Virginia(1/17/2025)
IAR
Virginia(3/19/2025)
RR
Wisconsin(1/17/2025)
IAR
Wisconsin(3/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
RIA
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Contact information
Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591
Mailing Address
Phone number
(914) 846-0100
Established
Firm type
Fiscal year end
# of Employees
200
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,846 |
| AUM (Assets Under Management) | $ 12,182,945,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 | ||
| 10/28/2022 |
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.
