LS
Lee M. Sheiman
CITIZENS SECURITIES
MADISON, CT 06443
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CRD#: 2973433
LS
Professional summary
Lee Michael Sheiman, who also goes by Lee Sheiman, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Madison, Connecticut.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Lee has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee Sheiman
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.
07/01/2024 - Notary - Investment related - Start date: 11/02/2021.
CRS (Client Relationship Summary) - RIA
Click below to view Lee Michael Sheiman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lee Michael Sheiman'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 26, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 256 Samson Rock Drive Mailstop: Ct-078, Madison, CT 06443Office #2: 1001 Boston Post Road Mailstop: Ct-077, Guilford, CT 06437RIA
BD
CRD#: 39550
MADISON, CT
Current
June 26, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 256 Samson Rock Drive Mailstop: Ct-078, Madison, CT 06443Office #2: 1001 Boston Post Road Mailstop: Ct-077, Guilford, CT 06437RIA
BD
CRD#: 39550
MADISON, CT
Past
July 12, 2024 - July 23, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEW HAVEN, CT
Past
July 12, 2024 - July 23, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
NEW HAVEN, CT
Past
August 7, 2020 - July 25, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WESTPORT, CT
Past
August 7, 2020 - July 25, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WESTPORT, CT
Past
February 20, 2020 - July 22, 2020
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
GREENWICH, CT
Past
September 18, 2015 - July 22, 2020
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GREENWICH, CT
Past
April 29, 2014 - December 31, 2014
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WESTPORT, CT
Past
December 14, 2012 - July 26, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTPORT, CT
Past
June 25, 2010 - April 16, 2012
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
OLD GREENWICH, CT
Past
August 26, 2008 - October 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NORWALK, CT
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
Connecticut(6/26/2025)
IAR
Connecticut(6/26/2025)
RR
Massachusetts(6/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2019
General Securities Representative ExaminationGeneral 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#: 39550Madison, CT 06443TRUST BUT VERIFY
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