Thomas J. Worsley
CITIZENS SECURITIES
WARWICK, RI 02889
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CRD#: 4480067
Professional summary
Thomas Jason Worsley, CFP®, who also goes by Thomas J Worsley, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Warwick, Rhode Island.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas J Worsley
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 Thomas Jason Worsley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Jason Worsley'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®
CFP®
Start date: 2009
Experience
Current
November 10, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 2574 West Shore Road Mailstop: Ri-011, Warwick, RI 02889Office #2: 1220 Main Street Mailstop: Ri-063, West Warwick, RI 02893RIA
BD
CRD#: 39550
WARWICK, RI
Current
November 10, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 2574 West Shore Road Mailstop: Ri-011, Warwick, RI 02889Office #2: 1220 Main Street Mailstop: Ri-063, West Warwick, RI 02893RIA
BD
CRD#: 39550
WARWICK, RI
Past
February 26, 2021 - July 7, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Greenville, RI
Past
February 25, 2021 - July 7, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Greenville, RI
Past
November 13, 2019 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Boston, MA
Past
November 13, 2019 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
BOston, MA
Past
November 12, 2019 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
BOston, MA
Past
December 18, 2015 - February 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, RI
Past
December 15, 2015 - February 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
Past
August 10, 2004 - February 19, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
EL SEGUNDO, CA
Past
May 12, 2003 - December 31, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
EL SEGUNDO, CA
Past
January 14, 2002 - August 10, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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
California(12/20/2022)
IAR
California(12/20/2022)
RR
Connecticut(11/10/2022)
IAR
Connecticut(11/10/2022)
RR
Florida(11/10/2022)
IAR
Florida(11/14/2022)
RR
Illinois(12/14/2022)
IAR
Illinois(12/14/2022)
RR
Massachusetts(11/10/2022)
RR
New Jersey(12/20/2022)
IAR
New Jersey(12/20/2022)
RR
New York(12/20/2022)
IAR
New York(12/20/2022)
RR
Rhode Island(11/10/2022)
IAR
Rhode Island(11/10/2022)
RR
Vermont(12/20/2022)
IAR
Vermont(12/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 39550Warwick, RI 02889TRUST BUT VERIFY
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