Joseph A. Caggiano

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CRD#: 3070320

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.

Joseph A Caggiano III, who also goes by Joe Anthony Caggiano III, Joey Anthony Caggiano III, Joseph Anthony Caggiano Iii, Joseph Anthony Caggiano, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2004. Joseph had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Anthony Caggiano Iii | Joey Anthony Caggiano Iii | Joseph Anthony Caggiano Iii | Joseph Anthony Caggiano

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 1, 2018 - October 30, 2019

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

WARWICK, RI

Past

December 14, 2017 - October 30, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

WARWICK, RI

Past

August 11, 2014 - October 27, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LINCOLN, RI

Past

July 22, 2014 - October 27, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LINCOLN, RI

Past

January 24, 2013 - June 26, 2014

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

June 28, 2012 - January 11, 2013

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

February 17, 2012 - May 30, 2012

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

August 2, 2010 - May 30, 2012

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

June 9, 2009 - August 3, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

June 20, 2007 - March 23, 2009

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

June 27, 2006 - June 29, 2007

CITIZENS SECURITIES, INC.

CRD#: 39550

FRAMINGHAM, MA

Past

June 9, 2005 - June 23, 2006

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

ST. CLOUD, MN

Past

November 5, 2004 - June 8, 2005

CITIZENS SECURITIES, INC.

CRD#: 39550

JOHNSTON, 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".

CITIZENS SECURITIES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/8/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/30/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/4/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CITIZENS SECURITIES, INC.

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSI ADVISORY SOLUTIONS MANAGED ACCOUNT PROGRAM BROCHURE 6242025 (6/23/2025)

CSI FORM ADV DIGITAL ADVISORY PROGRAM BROCHURE 2142025 (2/13/2025)

Direct owners and executive officers

Name	Position	CRD#
CITIZENS BANK, N.A.	DIRECT OWNERSHIP
ARNOLD, CHAD	COO WEALTH, EXECUTIVE VICE PRESIDENT	3076401
CARVALHO, KEVIN JOHN	CHIEF FINANCIAL OFFICER	6115556
CHERNY, MICHAEL	PRESIDENT	4864410
SHORE, DAVID HOWARD	CHIEF COMPLIANCE OFFICER	2106767

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.

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Firm Stability Insights

Joseph A. Caggiano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIZENS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JOHN HANCOCK DISTRIBUTORS LLC

FIDELITY DISTRIBUTORS COMPANY LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CITIZENS SECURITIES, INC.

BANCNORTH INVESTMENT GROUP, INC.

CITIZENS SECURITIES, INC.

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/8/2014

Series 63

Date: 12/29/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/30/2013

Series 6

Date: 11/4/2004

Current Firm

CITIZENS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CITIZENS SECURITIES, INC.

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