DC
David Carrara
CITIZENS SECURITIES
DAVIDSON, NC
Some features on this profile are disabled
CRD#: 2524700
DC
Professional summary
David Carrara, CFP® is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Davidson, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view David Carrara's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Carrara'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®
Experience
Current
November 17, 2021 - Present
CITIZENS SECURITIES, INC.
RIA
BD
CRD#: 39550
DAVIDSON, NC
Current
November 17, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 200 Station Drive, Westwood, MA 02090RIA
BD
CRD#: 39550
Westwood, MA
Past
April 14, 2021 - November 10, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
CHARLOTTE, NC
Past
April 13, 2021 - November 10, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
CHARLOTTE, NC
Past
November 13, 2006 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
CHARLOTTE, NC
Past
September 27, 2006 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
June 22, 2004 - October 15, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
June 14, 1999 - June 14, 2004
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
August 11, 1997 - June 8, 1999
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
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
Connecticut(11/18/2021)
IAR
Connecticut(11/18/2021)
RR
Delaware(11/23/2021)
IAR
Delaware(11/24/2021)
RR
Florida(11/22/2021)
IAR
Florida(11/22/2021)
RR
Massachusetts(11/18/2021)
RR
Michigan(11/19/2021)
IAR
Michigan(11/19/2021)
RR
New Hampshire(11/18/2021)
IAR
New Hampshire(11/18/2021)
IAR
New Jersey(11/18/2021)
RR
New Jersey(11/23/2021)
IAR
New York(11/18/2021)
RR
New York(12/4/2021)
RR
North Carolina(11/17/2021)
IAR
North Carolina(11/17/2021)
RR
Ohio(11/18/2021)
IAR
Ohio(11/18/2021)
RR
Pennsylvania(11/18/2021)
IAR
Pennsylvania(11/18/2021)
RR
Rhode Island(11/22/2021)
IAR
Rhode Island(11/22/2021)
IAR
Vermont(11/18/2021)
RR
Vermont(11/23/2021)
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.
