Lawson J. Mitchell

CITIZENS SECURITIES

PAWTUCKET, RI 02861

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CRD#: 4292261

Professional summary

Lawson J. Mitchell IV, who also goes by Lawson J. Mitchell IV, Lawson James Mitchell Iv, Lawson James Mitchell, Lawson J Mitchell Iv, is a registered financial professional currently at CITIZENS SECURITIES, INC. located in Pawtucket, Rhode Island.

Lawson is registered as a RR (Registered Representative) and started their career in finance in 2000. Lawson has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lawson J. Mitchell Iv | Lawson James Mitchell Iv | Lawson James Mitchell | Lawson J Mitchell Iv

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lawson J. Mitchell IV's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 11, 2026 - Present

CITIZENS SECURITIES, INC.

Office #1: 800 Newport Ave. Mailstop: Ri-005, Pawtucket, RI 02861

RIA

CRD#: 39550

PAWTUCKET, RI

Past

March 11, 2026 - March 12, 2026

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

JOHNSTON, RI

Past

July 22, 2025 - March 19, 2026

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WARWICK, RI

Past

May 16, 2025 - March 19, 2026

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

March 28, 2016 - September 8, 2016

SANTANDER SECURITIES LLC

CRD#: 41791

East Providence, RI

Past

January 18, 2008 - March 28, 2011

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

SMITHFIELD, RI

Past

January 18, 2008 - March 28, 2011

CITIZENS SECURITIES, INC.

CRD#: 39550

SMITHFIELD, RI

Past

November 29, 2004 - March 28, 2007

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

SMITHFIELD, RI

Past

November 29, 2004 - March 28, 2007

CITIZENS SECURITIES, INC.

CRD#: 39550

SMITHFIELD, RI

Past

January 14, 2003 - October 21, 2004

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

June 28, 2001 - January 2, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

November 3, 2000 - June 6, 2001

QUICK & REILLY, INC.

CRD#: 11217

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".

CITIZENS SECURITIES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/11/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/15/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/16/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/29/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/28/2016

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 11/2/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CITIZENS SECURITIES, INC.

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSI ADVISORY SOLUTIONS MANAGED ACCOUNT PROGRAM BROCHURE 6242025 (6/23/2025)

CSI FORM ADV DIGITAL ADVISORY PROGRAM BROCHURE 2142025 (2/13/2025)

Direct owners and executive officers

Name	Position	CRD#
CITIZENS BANK, N.A.	DIRECT OWNERSHIP
ARNOLD, CHAD	COO WEALTH, EXECUTIVE VICE PRESIDENT	3076401
CARVALHO, KEVIN JOHN	CHIEF FINANCIAL OFFICER	6115556
CHERNY, MICHAEL	PRESIDENT	4864410
SHORE, DAVID HOWARD	CHIEF COMPLIANCE OFFICER	2106767

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.

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Lawson J. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lawson J. Mitchell IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

SANTANDER SECURITIES LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

SIGNATOR INVESTORS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

QUICK & REILLY, INC.

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2025

Series 63

Date: 4/15/2016

Series 7TO

Date: 5/16/2025

SIE

Date: 1/29/2025

Series 6

Date: 3/28/2016

Series 7

Date: 11/2/2000

Series 24

Date: 9/8/2008

FINRA

Current Firm

CITIZENS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CITIZENS SECURITIES, INC.

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