HM
Hinesh R. Modi
CITIZENS SECURITIES
Smyrna, DE 19977
Some features on this profile are disabled
CRD#: 3206504
HM
Professional summary
Hinesh R Modi, who also goes by Mike Modi, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Smyrna, Delaware.
Hinesh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Hinesh has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Modi
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.
Revocable Trust of Hinesh Modi; trustee of own trust
CRS (Client Relationship Summary) - RIA
Click below to view Hinesh R Modi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hinesh R Modi'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
April 10, 2003 - Present
CITIZENS SECURITIES, INC.
Office #1: 7 West Glenwood Ave Mailstop: 01b-0016, Smyrna, DE 19977Office #2: 460 East Main Street Mailstop: 01b-6505, Middletown, DE 19709Office #3: 146 Fox Hunt Drive Mailstop: 01b-6508, Bear, DE 19701Office #4: 779 North Dupont Highway Mailstop: 01b-0026, Dover, DE 19901Office #5: 1399 Forrest Avenue Mailstop: 01b-0017, Dover, DE 19904RIA
BD
CRD#: 39550
Smyrna, DE
Current
May 8, 2002 - Present
CITIZENS SECURITIES, INC.
Office #1: 7 West Glenwood Ave Mailstop: 01b-0016, Smyrna, DE 19977Office #2: 460 East Main Street Mailstop: 01b-6505, Middletown, DE 19709Office #3: 146 Fox Hunt Drive Mailstop: 01b-6508, Bear, DE 19701Office #4: 779 North Dupont Highway Mailstop: 01b-0026, Dover, DE 19901Office #5: 1399 Forrest Avenue Mailstop: 01b-0017, Dover, DE 19904RIA
BD
CRD#: 39550
Smyrna, DE
Past
April 10, 2000 - December 31, 2000
MBSC, LLC
BD
CRD#: 42430
NEW YORK, NY
Past
April 26, 1999 - May 8, 2002
DREYFUS INVESTMENT SERVICES COMPANY, LLC
BD
CRD#: 17477
PITTSBURGH, PA
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
Arizona(7/2/2025)
RR
California(3/2/2023)
RR
Delaware(5/8/2002)
IAR
Delaware(4/10/2003)
RR
District of Columbia(3/9/2022)
IAR
District of Columbia(4/13/2022)
RR
Florida(1/2/2020)
IAR
Florida(1/3/2020)
RR
Georgia(6/21/2021)
IAR
Georgia(6/22/2021)
RR
Hawaii(5/14/2021)
IAR
Hawaii(5/17/2021)
RR
Maine(8/22/2025)
RR
Maryland(5/8/2002)
IAR
Maryland(10/19/2015)
RR
New Jersey(1/4/2021)
IAR
New Jersey(1/4/2021)
RR
North Carolina(1/4/2021)
IAR
North Carolina(1/4/2021)
RR
Pennsylvania(1/2/2020)
IAR
Pennsylvania(1/2/2020)
RR
South Carolina(3/17/2025)
IAR
South Carolina(3/18/2025)
RR
Texas(6/2/2022)
IAR
Texas(6/3/2022)
RR
Virginia(8/8/2011)
IAR
Virginia(8/12/2015)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 39550Smyrna, DE 19977TRUST BUT VERIFY
Monitor Hinesh Modi
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
