DR
Dennis J. Rosadio
CITIZENS SECURITIES
Souderton, PA 18964
Some features on this profile are disabled
CRD#: 4193670
DR
Professional summary
Dennis Joseph Rosadio II is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Souderton, Pennsylvania.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Dennis has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) - RIA
Click below to view Dennis Joseph Rosadio II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dennis Joseph Rosadio II'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
June 23, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 705 Route 113 Mailstop: 19b-6490, Souderton, PA 18964Office #2: 4275 County Line Road, Ste 1 Ms: 19b-0519, Chalfont, PA 18914Office #3: 227 N. West End Blvd Mailstop: 19b-0520, Quakertown, PA 18951Office #4: 108 Erin Lane Mailstop: 18u-0032, Brodheadsville, PA 18322Office #5: 25 E. Main St Mailstop: 19b-0234, Lansdale, PA 19446RIA
BD
CRD#: 39550
Souderton, PA
Current
June 23, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 705 Route 113 Mailstop: 19b-6490, Souderton, PA 18964Office #2: 4275 County Line Road, Ste 1 Ms: 19b-0519, Chalfont, PA 18914Office #3: 227 N. West End Blvd Mailstop: 19b-0520, Quakertown, PA 18951Office #4: 108 Erin Lane Mailstop: 18u-0032, Brodheadsville, PA 18322Office #5: 25 E. Main St Mailstop: 19b-0234, Lansdale, PA 19446RIA
BD
CRD#: 39550
Souderton, PA
Past
October 1, 2019 - June 22, 2020
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
Allentown, PA
Past
October 1, 2019 - June 22, 2020
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
Allentown, PA
Past
July 11, 2018 - October 7, 2019
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ALLENTOWN, PA
Past
July 10, 2018 - October 7, 2019
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ALLENTOWN, PA
Past
December 6, 2012 - December 19, 2016
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SCRANTON, PA
Past
September 24, 2012 - December 19, 2016
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SCRANTON, PA
Past
July 1, 2011 - September 17, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WHITESTONE, NY
Past
June 23, 2011 - September 17, 2012
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WHITESTONE, NY
Past
September 16, 2009 - June 21, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
OAKLAND GARDENS, NY
Past
May 30, 2008 - June 21, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
OAKLAND GARDENS, NY
Past
May 10, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 10, 2001 - February 21, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
November 24, 2000 - May 4, 2001
LADENBURG CAPITAL MANAGEMENT INC.
BD
CRD#: 14623
BETHPAGE, 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
Delaware(2/27/2024)
IAR
Delaware(2/27/2024)
RR
Florida(10/19/2021)
IAR
Florida(10/19/2021)
RR
New Jersey(6/23/2021)
IAR
New Jersey(6/23/2021)
IAR
New York(6/25/2021)
RR
New York(6/29/2021)
RR
North Carolina(1/7/2025)
IAR
North Carolina(1/9/2025)
RR
Pennsylvania(6/24/2021)
IAR
Pennsylvania(6/24/2021)
RR
Rhode Island(8/20/2024)
IAR
Rhode Island(8/20/2024)
Exams
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)
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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.
