TP
Thomas J. Polito
CITIZENS SECURITIES
Mineola, NY 11501
Some features on this profile are disabled
CRD#: 2601033
TP
Professional summary
Thomas Joseph Polito is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Mineola, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Thomas has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 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 Thomas Joseph Polito's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Joseph Polito'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
August 17, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 190 East Jericho Tpke Ny470, Mineola, NY 11501Office #2: 1164 Wantagh Ave Ny480, Wantagh, NY 11793RIA
BD
CRD#: 39550
Mineola, NY
Current
August 17, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 190 East Jericho Tpke Ny470, Mineola, NY 11501Office #2: 1164 Wantagh Ave Ny480, Wantagh, NY 11793RIA
BD
CRD#: 39550
Mineola, NY
Past
July 30, 2021 - August 17, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
COMMACK, NY
Past
June 24, 2021 - August 17, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WAST NORTHPORT, NY
Past
April 24, 2018 - July 14, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
WOODBURY, NY
Past
April 23, 2018 - July 14, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
WOODBURY, NY
Past
January 28, 2015 - May 7, 2018
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
SEATTLE, WA
Past
January 2, 2015 - May 7, 2018
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
MELVILLE, NY
Past
June 18, 2013 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
MELVILLE, NY
Past
June 17, 2013 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
BALDWIN, NY
Past
December 8, 2012 - June 17, 2013
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
HUNTINGTON STATION, NY
Past
October 26, 2012 - June 17, 2013
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
HUNTINGTON STATION, NY
Past
January 11, 2010 - October 30, 2012
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
HUNTINGTON, NY
Past
December 10, 2008 - July 14, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
RIVERHEAD, NY
Past
December 19, 2005 - December 4, 2008
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
BABYLON, NY
Past
December 14, 2005 - December 4, 2008
WAMU INVESTMENTS, INC.
BD
CRD#: 599
BABYLON, NY
Past
October 24, 2005 - December 1, 2005
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
EAST NORTHPORT, NY
Past
October 24, 2005 - December 1, 2005
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
EAST NORTHPORT, NY
Past
June 10, 2002 - October 27, 2005
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
May 30, 2001 - June 12, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 27, 1996 - June 1, 2001
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
December 21, 1995 - November 4, 1997
TASIN & COMPANY, INC.
BD
CRD#: 30709
HAUPPAUGE, NY
Past
April 11, 1995 - December 20, 1995
GILFORD SECURITIES INCORPORATED
BD
CRD#: 8076
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
Florida(8/16/2023)
IAR
Florida(8/17/2023)
RR
New Jersey(8/17/2022)
IAR
New Jersey(8/17/2022)
RR
New York(8/17/2022)
IAR
New York(8/17/2022)
RR
North Carolina(8/17/2022)
IAR
North Carolina(8/18/2022)
RR
Pennsylvania(11/10/2025)
IAR
Pennsylvania(11/12/2025)
RR
South Carolina(8/17/2022)
IAR
South Carolina(8/19/2022)
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.
