William D. Mastrogiovanni
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William D Mastrogiovanni, who also goes by William Dennis Mastrogiovanni, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1995. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2018 - September 20, 2022
CITIZENS SECURITIES, INC.
October 6, 2017 - April 30, 2018
CITIZENS SECURITIES, INC.
October 5, 2017 - September 20, 2022
CITIZENS SECURITIES, INC.
July 6, 2005 - June 2, 2017
M&T SECURITIES, INC.
October 20, 2004 - June 17, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - June 17, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 25, 2002 - October 20, 2004
QUICK & REILLY, INC.
November 28, 2001 - October 20, 2004
QUICK & REILLY, INC.
June 24, 1999 - October 1, 2001
CUNA BROKERAGE SERVICES, INC.
January 5, 1999 - July 9, 1999
CHARTER ONE SECURITIES, INC.
January 4, 1999 - May 25, 1999
HOWARD WEIL INCORPORATED
November 10, 1997 - December 31, 1998
HOWARD WEIL INCORPORATED
November 6, 1996 - November 20, 1997
KEY INVESTMENTS INC.
October 30, 1995 - August 15, 1996
IDS LIFE INSURANCE COMPANY
October 30, 1995 - August 15, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
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.
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