Santo Blumke

CITIZENS SECURITIES

Clinton Township, MI 48035

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CRD#: 2617061

Professional summary

Santo Blumke, who also goes by Sam Blumke, Santo Lawrence Blumke, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Clinton Township, Michigan.

Santo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Santo has worked at 18 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam Blumke | Santo Lawrence Blumke

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) - RIA

Click below to view Santo Blumke's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Santo Blumke's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 9, 2022 - Present

CITIZENS SECURITIES, INC.

Office #1: 36520 Moravian Drive Mailstop: Mib789, Clinton Township, MI 48035Office #2: 27375 23 Mile Rd. Mailstop: Mib759, Chesterfield Township, MI 48051

RIA

CRD#: 39550

Clinton Township, MI

Current

August 9, 2022 - Present

CITIZENS SECURITIES, INC.

Office #1: 36520 Moravian Drive Mailstop: Mib789, Clinton Township, MI 48035Office #2: 27375 23 Mile Rd. Mailstop: Mib759, Chesterfield Township, MI 48051

RIA

CRD#: 39550

Clinton Township, MI

Past

September 28, 2020 - July 25, 2022

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

TROY, MI

Past

September 24, 2020 - July 25, 2022

FIFTH THIRD SECURITIES, INC.

CRD#: 628

TROY, MI

Past

February 19, 2020 - September 22, 2020

THE HUNTINGTON INVESTMENT COMPANY

RIA

CRD#: 16986

BIRMINGHAM, MI

Past

February 18, 2020 - September 22, 2020

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

BIRMINGHAM, MI

Past

February 27, 2019 - February 11, 2020

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

ROchester, MI

Past

February 27, 2019 - February 11, 2020

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Rochester, MI

Past

January 15, 2019 - February 27, 2019

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

Rochester Hills, MI

Past

January 11, 2019 - February 27, 2019

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Rochester Hills, MI

Past

October 18, 2017 - December 14, 2018

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

Rochester, MI

Past

October 18, 2017 - December 14, 2018

SPIRE SECURITIES, LLC

CRD#: 144131

MCLEAN, VA

Past

December 2, 2016 - October 26, 2017

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

Rochester, MI

Past

December 1, 2016 - October 26, 2017

FSC SECURITIES CORPORATION

CRD#: 7461

Rochester, MI

Past

December 2, 2013 - October 19, 2016

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

ROCHESTER, MI

Past

November 25, 2013 - October 19, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

ROCHESTER, MI

Past

July 5, 2013 - November 18, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

EAST LANSING, MI

Past

May 7, 2013 - November 18, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

EAST LANSING, MI

Past

April 13, 2012 - May 7, 2013

SII INVESTMENTS, INC.

CRD#: 2225

TROY, MI

Past

April 18, 2011 - April 23, 2012

LPL FINANCIAL LLC

CRD#: 6413

TROY, MI

Past

July 15, 2010 - February 24, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BLOOMFIELD HILLS, MI

Past

June 5, 2009 - July 15, 2010

NRP FINANCIAL, INC.

CRD#: 103717

TROY, MI

Past

July 16, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 11, 2002 - July 27, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TROY, MI

Past

March 18, 1997 - January 28, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Michigan
(8/9/2022)

IAR

Michigan
(8/9/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/3/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/2/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/17/1997

General Securities Representative Examination

SRO Registrations

FINRA

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

Santo Blumke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Santo Blumke's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Santo Blumke's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CONCORDE ASSET MANAGEMENT, LLC

CONCORDE INVESTMENT SERVICES, LLC

SPIRE WEALTH MANAGEMENT, LLC

SPIRE SECURITIES, LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SII INVESTMENTS, INC.

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NRP FINANCIAL, INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/3/2013

Series 63

Date: 4/2/1997

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1997

FINRA

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.

TRUST BUT VERIFY

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