Nicholas R Watne
Professional Summary
Nicholas R Watne, who also goes by Nicholas R. Watne, Nicholas Robert Watne, Nick Watne, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Johnston, Rhode Island. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1998. Nicholas has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4, Series 10, Series 9 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas R Watne, Nicholas R. Watne, Nicholas Robert Watne, Nick Watne
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
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
Contact Information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02919Mailing Address
200 Station Drive Mws414, Westwood, MA 02090Phone Number
(781) 364-1641Established
Rhode Island since 09/21/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
471SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
60,545AUM (Assets Under Management)
$12,868,719,975Disclosures
Regulatory Event
16Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(6/25/2024)
(6/11/2024)
(8/14/2024)
(7/15/2024)
(6/11/2024)
(6/13/2024)
(6/10/2024)
(6/26/2024)
(6/13/2024)
(6/11/2024)
(6/17/2024)
(6/10/2024)
(8/6/2024)
(6/10/2024)
(6/11/2024)
(6/10/2024)
(6/27/2024)
(6/14/2024)
(6/13/2024)
(2/5/2025)
(6/11/2024)
(6/12/2024)
(6/18/2024)
(6/12/2024)
(1/14/2025)
(6/24/2024)
(6/10/2024)
(7/2/2024)
(6/10/2024)
(6/10/2024)
(6/10/2024)
(6/12/2024)
(6/17/2024)
(6/10/2024)
(6/11/2024)
(8/1/2024)
(6/11/2024)
(6/18/2024)
(6/12/2024)
(6/13/2024)
(6/10/2024)
(6/11/2024)
(6/10/2024)
(6/25/2024)
(6/24/2024)
(6/13/2024)
(6/27/2024)
(6/26/2024)
(7/3/2024)
(6/18/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2001About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas R Watne's CRS (Customer Relationship Summary).
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