OF
Octavio Fonseca
CITIZENS SECURITIES
Providence, RI 02906
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CRD#: 2944924
OF
Professional summary
Octavio Fonseca, who also goes by Ben Fonseca, Octavio Benjamin Fonseca, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Providence, Rhode Island.
Octavio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Octavio has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Fonseca | Octavio Benjamin Fonseca
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.
Durable Power of Attorney for Health Care for spouse, Jennifer W. Fonseca, not investment related, No financial responsibility, zero compensation, November 7, 2008, 0 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Octavio Fonseca's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Octavio Fonseca'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
June 30, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 120 Waterman Street, Providence, RI 02906Office #2: 333 West River Avenue Mailstop: Ri-117, Providence, RI 02909RIA
BD
CRD#: 39550
Providence, RI
Current
June 30, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: 120 Waterman Street, Providence, RI 02906Office #2: 333 West River Avenue Mailstop: Ri-117, Providence, RI 02909RIA
BD
CRD#: 39550
Providence, RI
Past
August 29, 2019 - June 30, 2020
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WELLESLEY, MA
Past
August 19, 2019 - June 30, 2020
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WELLESLEY, MA
Past
June 13, 2011 - February 21, 2018
NORTHSTAR SECURITIES, LLC
BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past
August 24, 2007 - May 2, 2011
PACIFIC CORNERSTONE CAPITAL INCORPORATED
BD
CRD#: 40397
SANTA ANA, CA
Past
August 8, 2007 - August 17, 2007
PAYDEN & RYGEL
RIA
CRD#: 107160
LOS ANGELES, CA
Past
August 8, 2007 - August 17, 2007
PAYDEN & RYGEL DISTRIBUTORS
BD
CRD#: 29868
LOS ANGELES, CA
Past
March 19, 1998 - August 3, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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
California(1/23/2024)
IAR
California(1/23/2024)
RR
Colorado(3/27/2024)
IAR
Colorado(3/28/2024)
RR
Connecticut(2/11/2022)
IAR
Connecticut(2/11/2022)
RR
Florida(1/20/2021)
IAR
Florida(1/21/2021)
RR
Illinois(7/27/2021)
IAR
Illinois(7/30/2021)
RR
Maine(9/5/2023)
IAR
Maine(9/6/2023)
RR
Massachusetts(6/30/2020)
RR
New Hampshire(5/10/2023)
IAR
New Hampshire(5/10/2023)
RR
New York(11/18/2020)
IAR
New York(4/8/2021)
RR
Oregon(7/17/2024)
IAR
Oregon(7/20/2024)
RR
Rhode Island(6/30/2020)
IAR
Rhode Island(6/30/2020)
RR
Washington(10/6/2022)
IAR
Washington(10/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550Providence, RI 02906TRUST BUT VERIFY
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