DS
Darrell A. Smith
CITIZENS SECURITIES
Malden, MA 02148
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CRD#: 4599993
DS
Professional summary
Darrell Anderson Smith, CFP® is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Malden, Massachusetts.
Darrell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Darrell has worked at 5 firms and has passed the Series 66, SIE and Series 7 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.
Notary Public
CRS (Client Relationship Summary) - RIA
Click below to view Darrell Anderson Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darrell Anderson Smith'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: 2010
Experience
Current
May 12, 2008 - Present
CITIZENS SECURITIES, INC.
Office #1: 225 Pleasant Street Ms: Ma048, Malden, MA 02148Office #2: 180 B Main St Ms: Ma-705, Saugus, MA 01906RIA
BD
CRD#: 39550
Malden, MA
Current
May 8, 2008 - Present
CITIZENS SECURITIES, INC.
Office #1: 225 Pleasant Street Ms: Ma048, Malden, MA 02148Office #2: 180 B Main St Ms: Ma-705, Saugus, MA 01906RIA
BD
CRD#: 39550
Malden, MA
Past
April 24, 2007 - May 9, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
BOSTON, MA
Past
April 25, 2003 - April 17, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PORTSMOUTH, NH
Past
April 25, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 25, 2003 - April 17, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PORTSMOUTH, NH
Past
February 4, 2003 - April 3, 2003
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
Past
January 23, 2003 - January 29, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CRANSTON, RI
Past
January 23, 2003 - January 29, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 23, 2003 - January 29, 2003
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.
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(8/21/2012)
IAR
Florida(8/17/2015)
RR
Maine(8/10/2021)
IAR
Maine(8/10/2021)
RR
Massachusetts(5/8/2008)
RR
New Hampshire(8/2/2012)
IAR
New Hampshire(11/8/2017)
RR
Virginia(7/20/2016)
IAR
Virginia(7/20/2016)
Exams
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)
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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#: 39550Malden, MA 02148TRUST BUT VERIFY
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