DW
David J. Wilcox
CITIZENS SECURITIES
Hampton Bays, NY 11946
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CRD#: 4317735
DW
Professional summary
David Jonathan Wilcox is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Hampton Bays, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
Dual hatted as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., engaging in the sale of bank related products and services. This position will be in conjunction with my current role as a registered representative with HSBC Securities (USA) Inc.
CRS (Client Relationship Summary) - RIA
Click below to view David Jonathan Wilcox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Jonathan Wilcox'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
October 10, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 248 Montauk Hwy West Ms: Ny322, Hampton Bays, NY 11946Office #2: 395 Portion Road Ms: Ny318, Lake Ronkonkoma, NY 11779RIA
BD
CRD#: 39550
Hampton Bays, NY
Current
October 10, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 248 Montauk Hwy West Ms: Ny322, Hampton Bays, NY 11946Office #2: 395 Portion Road Ms: Ny318, Lake Ronkonkoma, NY 11779RIA
BD
CRD#: 39550
Hampton Bays, NY
Past
March 22, 2013 - October 21, 2024
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
NEW HYDE PARK, NY
Past
March 22, 2013 - October 21, 2024
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW HYDE PARK, NY
Past
August 9, 2011 - March 18, 2013
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
HAUPPAUGE, NY
Past
August 2, 2010 - August 8, 2011
LINCOLN INVESTMENT
BD
CRD#: 519
SMITHTOWN, NY
Past
April 24, 2009 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
SMITHTOWN, NY
Past
February 4, 2008 - April 15, 2009
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
MELVILLE, NY
Past
February 13, 2001 - January 4, 2008
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
HAUPPAUGE, 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
Arizona(4/15/2025)
IAR
Arizona(4/15/2025)
RR
California(8/14/2025)
IAR
California(8/14/2025)
RR
Connecticut(7/3/2025)
IAR
Connecticut(7/7/2025)
RR
Florida(12/3/2024)
IAR
Florida(12/4/2024)
RR
Massachusetts(7/14/2025)
RR
New Jersey(7/3/2025)
IAR
New Jersey(7/5/2025)
RR
New York(10/10/2024)
IAR
New York(10/10/2024)
RR
North Carolina(12/3/2024)
IAR
North Carolina(12/3/2024)
RR
Pennsylvania(7/14/2025)
IAR
Pennsylvania(7/15/2025)
RR
Vermont(2/25/2025)
IAR
Vermont(2/26/2025)
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)
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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.
