KD
Kevin Daley
CITIZENS SECURITIES
Belmont, MA 02478
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CRD#: 2470290
KD
Professional summary
Kevin Daley, who also goes by Kevin Edward Daley, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Belmont, Massachusetts.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Edward Daley
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 Kevin Daley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Daley'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
September 28, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 65 Leonard Street Ms: Ma-039, Belmont, MA 02478Office #2: 762 Elm Street Ms: Ma760, Concord, MA 01742RIA
BD
CRD#: 39550
Belmont, MA
Current
September 28, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 65 Leonard Street Ms: Ma-039, Belmont, MA 02478Office #2: 762 Elm Street Ms: Ma760, Concord, MA 01742RIA
BD
CRD#: 39550
Belmont, MA
Past
June 2, 2017 - August 28, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
WEST BOYLSTON, MA
Past
June 2, 2017 - August 28, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
WEST BOYLSTON, MA
Past
April 21, 2010 - May 1, 2017
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
BURLINGTON, MA
Past
April 20, 2010 - May 1, 2017
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
BURLINGTON, MA
Past
November 17, 2009 - February 23, 2010
TD WEALTH MANAGEMENT SERVICES INC.
RIA
CRD#: 6940
BOSTON, MA
Past
November 17, 2009 - February 23, 2010
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
BOSTON, MA
Past
February 13, 2008 - November 17, 2009
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
BOSTON, MA
Past
February 6, 2008 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
BROOKLINE, MA
Past
March 25, 2005 - January 25, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
BOSTON, MA
Past
October 20, 2004 - January 25, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
January 9, 2004 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
January 31, 2003 - December 16, 2003
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
July 10, 2001 - January 31, 2003
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
October 2, 1995 - July 12, 2001
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
Past
April 28, 1994 - October 10, 1995
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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".
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
Alaska(11/24/2023)
IAR
Alaska(12/8/2023)
RR
California(11/24/2023)
IAR
California(11/28/2023)
RR
Georgia(10/26/2021)
IAR
Georgia(10/27/2021)
RR
Massachusetts(9/28/2020)
RR
New Hampshire(5/28/2025)
IAR
New Hampshire(6/10/2025)
RR
New York(6/10/2024)
IAR
New York(6/11/2024)
RR
Rhode Island(9/28/2020)
IAR
Rhode Island(9/29/2020)
RR
Washington(10/20/2020)
IAR
Washington(1/12/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 39550Belmont, MA 02478TRUST BUT VERIFY
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