NW
Nicholas R. Watne
CITIZENS SECURITIES
Johnston, RI 02919
Some features on this profile are disabled
CRD#: 3135342
NW
Professional summary
Nicholas R Watne, who also goes by Nicholas R. Watne, Nicholas Robert Watne, Nick Watne, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas R. Watne | Nicholas Robert Watne | Nick Watne
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas R Watne'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
May 13, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 1 Citizens Bank Way, Johnston, RI 02919RIA
BD
CRD#: 39550
Johnston, RI
Past
September 24, 2018 - May 13, 2024
FROST BROKERAGE SERVICES, INC.
BD
CRD#: 17465
SAN ANTONIO, TX
Past
May 11, 2006 - September 24, 2018
ZIONS DIRECT, INC.
BD
CRD#: 17776
SALT LAKE CITY, UT
Past
November 1, 2000 - May 9, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
NEW ALBANY, OH
Past
May 14, 1999 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
BD
CRD#: 34925
SAN FRANCISCO, CA
Past
October 29, 1998 - April 19, 1999
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
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.
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
Alabama(6/25/2024)
RR
Alaska(6/11/2024)
RR
Arizona(8/14/2024)
RR
Arkansas(7/15/2024)
RR
California(6/11/2024)
RR
Colorado(6/13/2024)
RR
Connecticut(6/10/2024)
RR
Delaware(6/26/2024)
RR
District of Columbia(6/13/2024)
RR
Florida(6/11/2024)
RR
Georgia(6/17/2024)
RR
Idaho(6/10/2024)
RR
Illinois(8/6/2024)
RR
Indiana(6/10/2024)
RR
Iowa(6/11/2024)
RR
Kansas(6/10/2024)
RR
Kentucky(6/27/2024)
RR
Louisiana(6/14/2024)
RR
Maine(6/13/2024)
RR
Maryland(2/5/2025)
RR
Massachusetts(6/11/2024)
RR
Michigan(6/12/2024)
RR
Minnesota(6/18/2024)
RR
Mississippi(6/12/2024)
RR
Missouri(1/14/2025)
RR
Montana(6/24/2024)
RR
Nevada(6/10/2024)
RR
New Hampshire(7/2/2024)
RR
New Jersey(6/10/2024)
RR
New Mexico(6/10/2024)
RR
New York(6/10/2024)
RR
North Carolina(6/12/2024)
RR
North Dakota(6/17/2024)
RR
Ohio(6/10/2024)
RR
Oklahoma(6/11/2024)
RR
Oregon(8/1/2024)
RR
Pennsylvania(6/11/2024)
RR
Puerto Rico(6/18/2024)
RR
Rhode Island(6/12/2024)
RR
South Carolina(6/13/2024)
RR
South Dakota(6/10/2024)
RR
Tennessee(6/11/2024)
RR
Texas(6/10/2024)
RR
Utah(6/25/2024)
RR
Vermont(6/24/2024)
RR
Virginia(6/13/2024)
RR
Washington(6/27/2024)
RR
West Virginia(6/26/2024)
RR
Wisconsin(7/3/2024)
RR
Wyoming(6/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
