KT
Kieth L. Tong
CITIZENS SECURITIES
PORTSMOUTH, NH 03801
Some features on this profile are disabled
CRD#: 3249902
KT
Professional summary
Kieth Lu Tong, CFP®, who also goes by Kiet Lu, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Portsmouth, New Hampshire.
Kieth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kieth has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kiet Lu
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.
Rental Property Owner - landlord. Zero compensation. 4 hours/month. Start date: 06/2020.
CRS (Client Relationship Summary) - RIA
Click below to view Kieth Lu Tong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kieth Lu Tong'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®
CFP®
Start date: 2009
Experience
Current
June 9, 2017 - Present
CITIZENS SECURITIES, INC.
Office #1: 134 Pleasant Street Ms: Nh447, Portsmouth, NH 03801Office #2: 38 Portsmouth Avenue Ms: Nh457, Stratham, NH 03885RIA
BD
CRD#: 39550
PORTSMOUTH, NH
Current
June 9, 2017 - Present
CITIZENS SECURITIES, INC.
Office #1: 134 Pleasant Street Ms: Nh447, Portsmouth, NH 03801Office #2: 38 Portsmouth Avenue Ms: Nh457, Stratham, NH 03885RIA
BD
CRD#: 39550
PORTSMOUTH, NH
Past
January 28, 2015 - May 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
January 28, 2015 - May 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
November 12, 2014 - November 19, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEW CASTLE, PA
Past
October 10, 2014 - November 19, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW CASTLE, PA
Past
March 8, 2012 - October 9, 2012
NORTON FINANCIAL SERVICES, INC.
RIA
CRD#: 118263
CUMBERLAND FORESIDE, ME
Past
April 1, 2010 - October 9, 2012
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
CUMBERLAND FORESIDE, ME
Past
April 1, 2010 - October 9, 2012
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
CUMBERLAND FORESIDE, ME
Past
October 1, 2007 - March 19, 2010
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MERRIMACK, NH
Past
April 25, 2005 - March 22, 2010
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
MERRIMACK, NH
Past
January 10, 2005 - September 21, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MERRIMACK, NH
Past
January 22, 2004 - October 21, 2004
WADDELL & REED
RIA
CRD#: 866
PORTSMOUTH, NH
Past
December 19, 2003 - October 21, 2004
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
December 12, 2001 - January 5, 2004
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
October 4, 1999 - September 14, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 4, 1999 - September 14, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
July 23, 1999 - September 3, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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(10/9/2023)
IAR
Connecticut(10/9/2023)
RR
Florida(6/9/2017)
IAR
Florida(6/12/2017)
RR
Georgia(3/26/2024)
IAR
Georgia(3/28/2024)
RR
Illinois(1/28/2021)
IAR
Illinois(1/28/2021)
RR
Maine(1/28/2021)
IAR
Maine(1/28/2021)
RR
Massachusetts(6/9/2017)
RR
Missouri(5/18/2022)
IAR
Missouri(5/18/2022)
RR
Nevada(1/28/2021)
IAR
Nevada(2/25/2021)
RR
New Hampshire(6/9/2017)
IAR
New Hampshire(6/9/2017)
RR
Rhode Island(4/19/2023)
RR
South Carolina(8/7/2025)
IAR
South Carolina(8/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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)
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#: 39550Portsmouth, NH 03801TRUST BUT VERIFY
Monitor Kieth Tong
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
