CL
Charles C. Locicero
CITIZENS SECURITIES
Mount Laurel, NJ 08054
Some features on this profile are disabled
CRD#: 2544882
CL
Professional summary
Charles Calogero Locicero, who also goes by Charles Calgero Locicero, Charles Calogero Locicero, Charles Locicero, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Mount Laurel, New Jersey.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Calgero Locicero | Charles Calogero Locicero | Charles Locicero
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 Charles Calogero Locicero's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Calogero Locicero'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 22, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 3100 Route 38 Nj185, Mount Laurel, NJ 08054RIA
BD
CRD#: 39550
Mount Laurel, NJ
Current
June 22, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 3100 Route 38 Nj185, Mount Laurel, NJ 08054RIA
BD
CRD#: 39550
Mount Laurel, NJ
Past
October 14, 2021 - June 7, 2022
ERNST & YOUNG INVESTMENT ADVISERS LLP
RIA
CRD#: 110921
Marlton, NJ
Past
September 21, 2020 - October 28, 2020
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
September 19, 2020 - October 28, 2020
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
Malvern, PA
Past
December 10, 2019 - August 21, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Marlton, NJ
Past
December 9, 2019 - August 21, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Marlton, NJ
Past
December 3, 2014 - September 3, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLONIA, NJ
Past
November 21, 2014 - September 3, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLONIA, NJ
Past
June 14, 2010 - October 22, 2014
CHELSEA FINANCIAL SERVICES
BD
CRD#: 47770
STATEN ISLAND, NY
Past
September 10, 2009 - February 26, 2010
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
NEW YORK, NY
Past
May 12, 2008 - February 26, 2010
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW YORK, NY
Past
January 3, 2007 - April 10, 2008
CHELSEA FINANCIAL SERVICES
BD
CRD#: 47770
STATEN ISLAND, NY
Past
March 21, 2001 - November 6, 2006
CHELSEA FINANCIAL SERVICES
BD
CRD#: 47770
STATEN ISLAND, NY
Past
May 6, 1997 - April 23, 2001
ROYAL HUTTON SECURITIES CORP.
BD
CRD#: 14489
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
Alabama(6/27/2022)
IAR
Alabama(6/27/2022)
RR
Alaska(6/27/2022)
IAR
Alaska(7/25/2022)
RR
Arizona(6/30/2022)
RR
California(6/23/2022)
IAR
California(8/19/2022)
RR
Colorado(6/27/2022)
IAR
Colorado(6/27/2022)
RR
Connecticut(6/28/2022)
IAR
Connecticut(6/28/2022)
RR
Delaware(6/27/2022)
IAR
Delaware(7/1/2022)
RR
District of Columbia(6/23/2022)
RR
Florida(6/27/2022)
IAR
Florida(6/27/2022)
RR
Georgia(6/25/2022)
IAR
Georgia(6/25/2022)
RR
Hawaii(6/29/2022)
IAR
Hawaii(6/29/2022)
RR
Idaho(6/23/2022)
IAR
Idaho(6/23/2022)
RR
Illinois(6/28/2022)
IAR
Illinois(6/29/2022)
RR
Indiana(12/6/2022)
IAR
Indiana(12/7/2022)
RR
Iowa(6/28/2022)
IAR
Iowa(6/28/2022)
RR
Kansas(6/23/2022)
IAR
Kansas(6/24/2022)
RR
Kentucky(6/27/2022)
IAR
Kentucky(6/27/2022)
RR
Louisiana(6/27/2022)
IAR
Louisiana(6/27/2022)
RR
Maine(6/27/2022)
IAR
Maine(6/27/2022)
RR
Maryland(6/23/2022)
IAR
Maryland(6/23/2022)
RR
Massachusetts(6/23/2022)
RR
Michigan(6/24/2022)
IAR
Michigan(6/24/2022)
RR
Minnesota(6/24/2022)
IAR
Minnesota(6/24/2022)
RR
Mississippi(6/24/2022)
IAR
Mississippi(6/24/2022)
RR
Missouri(6/22/2022)
IAR
Missouri(6/22/2022)
RR
Montana(6/23/2022)
IAR
Montana(6/23/2022)
RR
Nebraska(6/23/2022)
IAR
Nebraska(7/1/2022)
RR
Nevada(7/5/2022)
IAR
Nevada(7/5/2022)
RR
New Hampshire(7/27/2022)
IAR
New Hampshire(7/27/2022)
RR
New Jersey(6/24/2022)
IAR
New Jersey(6/24/2022)
IAR
New Mexico(6/24/2022)
RR
New Mexico(6/27/2022)
RR
New York(6/30/2022)
IAR
New York(2/6/2023)
RR
North Carolina(6/27/2022)
IAR
North Carolina(7/7/2022)
RR
North Dakota(6/27/2022)
IAR
North Dakota(7/5/2022)
RR
Ohio(6/23/2022)
IAR
Ohio(6/23/2022)
RR
Oklahoma(6/28/2022)
IAR
Oklahoma(6/28/2022)
RR
Oregon(6/24/2022)
IAR
Oregon(6/24/2022)
IAR
Pennsylvania(6/23/2022)
RR
Pennsylvania(6/27/2022)
RR
Puerto Rico(7/6/2022)
IAR
Puerto Rico(7/6/2022)
RR
Rhode Island(7/12/2022)
IAR
Rhode Island(7/12/2022)
RR
South Carolina(7/6/2022)
IAR
South Carolina(7/6/2022)
RR
South Dakota(7/28/2022)
IAR
South Dakota(7/29/2022)
RR
Tennessee(6/27/2022)
RR
Texas(6/23/2022)
IAR
Texas(6/23/2022)
RR
Utah(6/23/2022)
IAR
Utah(6/23/2022)
IAR
Vermont(6/23/2022)
RR
Vermont(6/24/2022)
RR
Virginia(6/25/2022)
IAR
Virginia(6/25/2022)
RR
Washington(6/29/2022)
IAR
Washington(6/29/2022)
RR
West Virginia(6/27/2022)
IAR
West Virginia(7/6/2022)
RR
Wisconsin(6/23/2022)
IAR
Wisconsin(6/23/2022)
RR
Wyoming(7/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral 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.
