JF
Joseph M. Faragasso
CITIZENS SECURITIES
Phoenixville, PA 19460
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CRD#: 4739407
JF
Professional summary
Joseph Michael Faragasso is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Phoenixville, Pennsylvania.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joseph has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
May earn commissions from Insurance Companies not affiliated with Northwestern Mutual for sales of Non-Variable Life, Health, Annuity and/or disability insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Faragasso's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Faragasso'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
June 4, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 510 Kimberton Road / Maple Lawn Village Center Mailstop: 19b-6493, Phoenixville, PA 19460Office #2: 3951 Lincoln Highway, Downingtown, PA 19335Office #3: 50 East Uwchlan Avenue Mailstop: 19b-6723, Exton, PA 19341RIA
BD
CRD#: 39550
Phoenixville, PA
Current
June 4, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 510 Kimberton Road / Maple Lawn Village Center Mailstop: 19b-6493, Phoenixville, PA 19460Office #2: 3951 Lincoln Highway, Downingtown, PA 19335Office #3: 50 East Uwchlan Avenue Mailstop: 19b-6723, Exton, PA 19341RIA
BD
CRD#: 39550
Phoenixville, PA
Past
June 28, 2022 - July 15, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
RADNOR, PA
Past
June 28, 2022 - July 15, 2025
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
RADNOR, PA
Past
October 18, 2018 - June 27, 2022
W&S BROKERAGE SERVICES, INC.
RIA
CRD#: 8099
WAYNE, PA
Past
March 7, 2017 - June 27, 2022
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
WAYNE, PA
Past
February 29, 2016 - December 15, 2016
WIENKEN ADVISORS, LTD.
RIA
CRD#: 148335
Mechanicsburg, PA
Past
June 30, 2010 - December 12, 2016
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Coatesville, PA
Past
June 9, 2010 - December 12, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Coatesville, PA
Past
April 15, 2004 - June 3, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
COATESVILLE, PA
Past
April 8, 2004 - June 3, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
COATESVILLE, PA
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(8/25/2025)
IAR
California(8/27/2025)
RR
Pennsylvania(6/4/2025)
IAR
Pennsylvania(6/4/2025)
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.
