John C. Broughton

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CRD#: 2362478

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.

John Charles Broughton was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1993. John had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

April 28, 2020 - January 26, 2021

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

Southfield, MI

Past

April 28, 2020 - January 26, 2021

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, RI

Past

December 6, 2016 - April 24, 2020

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

GROSSE PONTE WOODS, MI

Past

December 6, 2016 - April 24, 2020

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

GROSSE POINTE WOODS, MI

Past

June 8, 2011 - January 4, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

GROSSE POINTE WOODS, MI

Past

April 5, 2011 - April 15, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

GROSSE POINTE WOODS, MI

Past

April 5, 2011 - January 4, 2017

LPL FINANCIAL LLC

CRD#: 6413

GROSSE POINTE WOODS, MI

Past

August 8, 2007 - April 5, 2011

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

HAMTRAMCK, MI

Past

July 31, 2007 - April 5, 2011

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

HAMTRAMCK, MI

Past

July 13, 2007 - July 26, 2007

VISION ASSET MANAGEMENT INC

RIA

CRD#: 110412

HAMTRAMCK, MI

Past

August 29, 2005 - July 26, 2007

VISION INVESTMENT SERVICES, INC.

CRD#: 46609

STERLING HEIGHTS, MI

Past

September 9, 2004 - July 12, 2005

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

LIVONIA, MI

Past

August 12, 2004 - July 12, 2005

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

January 12, 2004 - July 16, 2004

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

May 22, 2002 - January 14, 2004

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

October 1, 2001 - May 6, 2002

BNY MELLON SECURITIES LLC

CRD#: 47268

JERSEY CITY, NJ

Past

June 14, 2000 - October 1, 2001

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

February 7, 2000 - June 14, 2000

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

May 20, 1998 - November 18, 1999

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

June 27, 1995 - November 18, 1999

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

July 8, 1993 - June 28, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 8, 1993 - June 28, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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 66

Date: 9/7/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/19/1993

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: 7/7/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/13/2006

General Securities Principal 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

John C. Broughton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

VISION ASSET MANAGEMENT INC

VISION INVESTMENT SERVICES, INC.

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

FIFTH THIRD SECURITIES, INC.

BNY MELLON SECURITIES LLC

NATHAN & LEWIS SECURITIES, INC.

GUARANTY BROKERAGE SERVICES, INC.

NATCITY INVESTMENTS, INC.

NATCITY INSURANCE SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/7/2004

Series 63

Date: 7/19/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/7/1993

Series 24

Date: 11/13/2006

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.

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