DK
Dimitri Koutsiaftis
CITIZENS SECURITIES
Levittown, PA 19055
Some features on this profile are disabled
CRD#: 4282808
DK
Professional summary
Dimitri Koutsiaftis, who also goes by Jim Kouts, Name Not Used, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Levittown, Pennsylvania.
Dimitri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Dimitri has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Kouts | Name Not Used
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 Dimitri Koutsiaftis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dimitri Koutsiaftis'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
September 26, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 4565 New Falls Rd Mailstop: 19b-0011, Levittown, PA 19055Office #2: 763 Huntington Pike Mailstop: 19b-0003, Huntingdon Valley, PA 19006Office #3: 473 Oxford Valley Road South Suite 100, Fairless Hills, PA 19030RIA
BD
CRD#: 39550
Levittown, PA
Current
June 9, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 4565 New Falls Rd Mailstop: 19b-0011, Levittown, PA 19055Office #2: 763 Huntington Pike Mailstop: 19b-0003, Huntingdon Valley, PA 19006Office #3: 473 Oxford Valley Road South Suite 100, Fairless Hills, PA 19030RIA
BD
CRD#: 39550
Levittown, PA
Past
September 17, 2019 - September 23, 2022
D. BORAL CAPITAL
BD
CRD#: 103792
New York, NY
Past
May 28, 2019 - September 17, 2019
G.F. INVESTMENT SERVICES, LLC
BD
CRD#: 132939
MCDONOUGH, GA
Past
April 17, 2019 - May 30, 2019
REID & RUDIGER LLC
BD
CRD#: 47263
NEW YORK, NY
Past
February 23, 2019 - April 24, 2019
D. BORAL CAPITAL
BD
CRD#: 103792
New York, NY
Past
March 22, 2016 - February 21, 2019
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
NEW YORK, NY
Past
December 7, 2005 - January 13, 2006
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
NEW YORK, NY
Past
November 21, 2005 - November 22, 2005
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
January 7, 2005 - April 7, 2005
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOCA RATON, FL
Past
February 11, 2004 - November 30, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
August 19, 2003 - September 12, 2003
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
April 29, 2003 - August 22, 2003
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
Past
November 7, 2002 - February 24, 2003
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, 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
Florida(6/9/2023)
IAR
Florida(9/27/2023)
RR
Idaho(6/9/2023)
IAR
Idaho(9/26/2023)
RR
Massachusetts(6/9/2023)
RR
New Jersey(6/9/2023)
IAR
New Jersey(9/26/2023)
RR
New York(6/9/2023)
IAR
New York(9/26/2023)
RR
Pennsylvania(6/9/2023)
IAR
Pennsylvania(9/26/2023)
RR
South Carolina(6/9/2023)
IAR
South Carolina(9/26/2023)
Exams
State Security Law Exam
State Security Law 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.
