Nicholas H. Banks
Professional summary
Nicholas Henry Banks, who also goes by Nicholas Banks, Nicholas Henry Banks, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Stamford, Connecticut and CITIZENS SECURITIES, INC. located in Rye, New York.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Nicholas has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Henry Banks's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2022 - Present
CITIZENS PRIVATE WEALTH
Office #1: 59 Broad Street, Stamford, CT 06901May 23, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 67 Purchase St Ms: Ny351, Rye, NY 10580Office #2: 53 Greenwich Ave Mailstop: Ct-315, Greenwich, CT 06830Office #3: 59 Broad Street Mailstop: Ct-314, Stamford, CT 06901May 23, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 67 Purchase St Ms: Ny351, Rye, NY 10580Office #2: 53 Greenwich Ave Mailstop: Ct-315, Greenwich, CT 06830Office #3: 59 Broad Street Mailstop: Ct-314, Stamford, CT 06901August 14, 2018 - October 6, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 7, 2018 - September 23, 2021
FIDELITY BROKERAGE SERVICES LLC
May 31, 2013 - March 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2013 - March 24, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 5, 2010 - October 2, 2012
MML INVESTORS SERVICES, LLC
July 20, 2009 - September 30, 2009
MAXIM GROUP LLC
May 2, 2007 - January 26, 2009
CITIZENS JMP SECURITIES, LLC
September 9, 2004 - May 1, 2007
LEERINK PARTNERS LLC
December 2, 2003 - September 8, 2004
NATIXIS SECURITIES AMERICAS LLC
January 29, 2002 - November 6, 2003
NEUBERGER BERMAN BD LLC
February 2, 1999 - December 7, 2001
ABN AMRO SECURITIES LLC
July 14, 1997 - October 22, 1998
HAMBRECHT & QUIST LLC
May 5, 1997 - June 19, 1997
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/15/2023)
(2/15/2023)
(5/23/2022)
(5/23/2022)
(5/16/2023)
(5/17/2023)
(11/3/2022)
(11/4/2025)
(11/10/2025)
(9/12/2022)
(9/13/2022)
(5/23/2022)
(5/23/2022)
(1/25/2023)
(1/30/2023)
(10/3/2023)
(10/4/2023)
(8/4/2025)
(8/4/2025)
Exams
FINRA
Current Firm
CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,846 |
| AUM (Assets Under Management) | $ 12,182,945,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 | ||
| 10/28/2022 |
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.
