JW
Joseph A. Wrzosek
CITIZENS SECURITIES
Tonawanda, NY 14217
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CRD#: 2345707
JW
Professional summary
Joseph Anthony Wrzosek is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Tonawanda, New York.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Notary Public
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Wrzosek's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Wrzosek'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
June 9, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 3494 Delaware Avenue Ms: Nyr147, Tonawanda, NY 14217Office #2: 1893 Elmwood Avenue Ms: Nyr152, Buffalo, NY 14207Office #3: 1251 Union Road Ms: Nyr149, West Seneca, NY 14224Office #4: 355 Orchard Park Road Ms: Nyr211, West Seneca, NY 14224Office #5: 1460 South Park Ave Ms: Nyr181, Buffalo, NY 14220RIA
BD
CRD#: 39550
Tonawanda, NY
Current
June 9, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 3494 Delaware Avenue Ms: Nyr147, Tonawanda, NY 14217Office #2: 1893 Elmwood Avenue Ms: Nyr152, Buffalo, NY 14207Office #3: 1251 Union Road Ms: Nyr149, West Seneca, NY 14224Office #4: 355 Orchard Park Road Ms: Nyr211, West Seneca, NY 14224Office #5: 1460 South Park Ave Ms: Nyr181, Buffalo, NY 14220RIA
BD
CRD#: 39550
Tonawanda, NY
Past
March 26, 2021 - June 2, 2021
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
DEPEW, NY
Past
August 14, 2019 - June 2, 2021
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
DEPEW, NY
Past
November 5, 2013 - July 2, 2019
M&T SECURITIES, INC.
RIA
CRD#: 17358
BUFFALO, NY
Past
June 22, 2010 - July 2, 2019
M&T SECURITIES, INC.
BD
CRD#: 17358
BUFFALO, NY
Past
July 23, 2008 - June 8, 2010
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
WILLIAMSVILLE, NY
Past
January 4, 2008 - July 8, 2008
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
DEPEW, NY
Past
February 18, 2005 - July 8, 2008
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
DEPEW, NY
Past
October 20, 2004 - January 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BUFFALO, NY
Past
October 20, 2004 - January 4, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
June 10, 2004 - October 20, 2004
QUICK & REILLY, INC.
RIA
CRD#: 11217
BUFFALO, NY
Past
November 16, 2001 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
April 9, 1999 - November 27, 2001
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
October 23, 1996 - April 8, 1999
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
November 7, 1994 - May 1, 1995
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
December 9, 1993 - October 18, 1996
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
Past
September 17, 1993 - November 23, 1993
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
May 5, 1993 - September 13, 1993
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 5, 1993 - September 13, 1993
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, 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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
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)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
New York(6/9/2021)
IAR
New York(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
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)BD
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)
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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550Tonawanda, NY 14217TRUST BUT VERIFY
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