MS
Marina K. Smalanskas
CITIZENS SECURITIES
CONSHOHOCKEN, PA 19428
Some features on this profile are disabled
CRD#: 2620480
MS
Professional summary
Marina Kumi Smalanskas, who also goes by Marina Kumi Berkheimer, Marina Berkheimer, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Conshohocken, Pennsylvania.
Marina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Marina has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marina Kumi Berkheimer | Marina Berkheimer
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 Marina Kumi Smalanskas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marina Kumi Smalanskas'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
October 19, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 300 Barr Harbor Drive, Suite 450 Mailstop: Pabh10, Conshohocken, PA 19428RIA
BD
CRD#: 39550
CONSHOHOCKEN, PA
Current
October 19, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 300 Barr Harbor Drive, Suite 450 Mailstop: Pabh10, Conshohocken, PA 19428RIA
BD
CRD#: 39550
CONSHOHOCKEN, PA
Past
March 18, 2020 - October 27, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
FREDERICKSBURG, PA
Past
March 18, 2020 - October 27, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
FREDERICKSBURG, PA
Past
February 14, 2018 - August 22, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
MECHANICSBURG, PA
Past
February 14, 2018 - August 22, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
MECHANICSBURG, PA
Past
October 4, 2016 - February 14, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
MECHANICSBURG, PA
Past
October 4, 2016 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
MECHANICSBURG, PA
Past
December 4, 2013 - October 14, 2016
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
HARRISBURG, PA
Past
September 19, 2012 - October 14, 2016
SANTANDER SECURITIES LLC
BD
CRD#: 41791
HARRISBURG, PA
Past
May 27, 2008 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
BRYN MAWR, PA
Past
January 7, 2002 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
MEDIA, PA
Past
October 1, 2001 - December 3, 2001
BNY MELLON SECURITIES LLC
BD
CRD#: 47268
JERSEY CITY, NJ
Past
August 7, 2000 - October 1, 2001
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
February 9, 2000 - August 10, 2000
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
Past
February 5, 1997 - May 31, 2000
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
June 7, 1995 - February 5, 1997
SAFEGUARD SECURITIES, INC.
BD
CRD#: 31256
MAYFIELD HEIGHTS, OH
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
Pennsylvania(10/19/2020)
IAR
Pennsylvania(10/19/2020)
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.
