JD
Joseph T. Daly
CITIZENS SECURITIES
MEDFORD, MA 02155
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CRD#: 4409816
JD
Professional summary
Joseph Thomas Daly JR is a registered financial professional currently at CITIZENS SECURITIES, INC. located in Medford, Massachusetts.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Joseph Thomas Daly JR'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
July 15, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 20 Cabot Road Ms: Mmf225, Medford, MA 02155RIA
BD
CRD#: 39550
MEDFORD, MA
Past
April 25, 2022 - July 18, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
CHELMSFORD, MA
Past
July 12, 2013 - April 25, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WAKEFIELD, MA
Past
September 26, 2011 - July 2, 2013
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
WESTBOROUGH, MA
Past
July 2, 2010 - July 2, 2013
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
WESTBOROUGH, MA
Past
January 22, 2010 - June 10, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
MARLBOROUGH, MA
Past
January 19, 2010 - June 10, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
MARLBOROUGH, MA
Past
June 10, 2008 - January 4, 2010
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
WESTBOROUGH, MA
Past
June 10, 2008 - January 4, 2010
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
WESTBOROUGH, MA
Past
April 3, 2006 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
RIA
CRD#: 5249
BOSTON, MA
Past
March 24, 2006 - May 22, 2008
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
November 28, 2005 - March 16, 2006
OPUS INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 107569
WORCESTER, MA
Past
November 1, 2004 - March 16, 2006
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
February 20, 2002 - October 20, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
August 1, 2001 - February 8, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
August 1, 2001 - February 8, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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.
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
Massachusetts(7/15/2025)
Exams
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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550Medford, MA 02155TRUST BUT VERIFY
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