Joseph A. Wrzosek
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.
Joseph Anthony Wrzosek was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2021 - April 2, 2026
CITIZENS SECURITIES, INC.
June 9, 2021 - April 2, 2026
CITIZENS SECURITIES, INC.
March 26, 2021 - June 2, 2021
KEY INVESTMENT SERVICES LLC
August 14, 2019 - June 2, 2021
KEY INVESTMENT SERVICES LLC
November 5, 2013 - July 2, 2019
M&T SECURITIES, INC.
June 22, 2010 - July 2, 2019
M&T SECURITIES, INC.
July 23, 2008 - June 8, 2010
CADARET, GRANT & CO., INC.
January 4, 2008 - July 8, 2008
HSBC SECURITIES (USA) INC.
February 18, 2005 - July 8, 2008
HSBC SECURITIES (USA) INC.
October 20, 2004 - January 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - January 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 10, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 16, 2001 - October 20, 2004
QUICK & REILLY, INC.
April 9, 1999 - November 27, 2001
MONY SECURITIES CORPORATION
October 23, 1996 - April 8, 1999
HSBC BROKERAGE (USA) INC.
November 7, 1994 - May 1, 1995
IFMG SECURITIES, INC.
December 9, 1993 - October 18, 1996
M&T SECURITIES, INC.
September 17, 1993 - November 23, 1993
IFMG SECURITIES, INC.
May 5, 1993 - September 13, 1993
METROPOLITAN LIFE INSURANCE COMPANY
May 5, 1993 - September 13, 1993
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
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.
