Joshua D. Giuliano

CITIZENS SECURITIES

CRANSTON, RI 02920

Some features on this profile are disabled

CRD#: 4856715

Professional summary

Joshua David Giuliano, CFP®, who also goes by Josh Giuliano, Joshua D Giuliano, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Cranston, Rhode Island.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joshua has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Giuliano | Joshua D Giuliano

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.

1) Rental home owner - rent property, coordinate maintenance, collect rent and pay bills; 5 hrs/month; as of 06/2017. 2) Beneficiary/POA - contingent beneficiary and contingent durable power of attorney for aunt and uncle. 3) Gansett Properties LLC - setting up company for rental properties. 4) GC Holdings LLC - Member; buy and rehab rental properties. 5-10 hrs/month. Start date: 05/2019. 5) PrepareRI Innovation Challenge - Mentor/Coach students; 8 hours/month; Zero Compensation; Start date: 07/2020. 6)Executor/POA/Co-Trustee for wife's estate. No responsibilities at this time, only if she were to pass or become incapacitated.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua David Giuliano's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joshua David Giuliano's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2006

Experience

Current

March 26, 2009 - Present

CITIZENS SECURITIES, INC.

Office #1: 5 Garden City Drive Ms: Ri057, Cranston, RI 02920

RIA

CRD#: 39550

CRANSTON, RI

Current

March 26, 2009 - Present

CITIZENS SECURITIES, INC.

Office #1: 5 Garden City Drive Ms: Ri057, Cranston, RI 02920

RIA

CRD#: 39550

CRANSTON, RI

Past

January 1, 2005 - March 23, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PROVIDENCE, RI

Past

November 25, 2004 - March 23, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PROVIDENCE, 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".

CITIZENS SECURITIES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Arizona
(10/31/2017)

California
(3/26/2009)

Colorado
(1/8/2025)

IAR

Colorado
(1/8/2025)

Connecticut
(3/26/2009)

IAR

Connecticut
(8/12/2015)

Delaware
(6/26/2017)

IAR

Delaware
(6/26/2017)

District of Columbia
(1/16/2024)

IAR

District of Columbia
(2/9/2024)

Florida
(2/5/2020)

IAR

Florida
(2/6/2020)

Georgia
(1/8/2021)

IAR

Georgia
(1/11/2021)

Illinois
(1/6/2023)

IAR

Illinois
(1/6/2023)

Iowa
(7/9/2024)

IAR

Iowa
(7/9/2024)

Maine
(3/5/2020)

IAR

Maine
(3/5/2020)

Massachusetts
(3/26/2009)

Michigan
(5/2/2023)

IAR

Michigan
(5/2/2023)

New Hampshire
(8/31/2021)

IAR

New Hampshire
(8/31/2021)

New Jersey
(10/8/2009)

IAR

New Jersey
(8/12/2015)

New York
(1/2/2020)

IAR

New York
(4/8/2021)

North Carolina
(9/30/2021)

IAR

North Carolina
(9/30/2021)

Ohio
(11/14/2023)

IAR

Ohio
(11/14/2023)

Pennsylvania
(10/8/2009)

IAR

Pennsylvania
(10/31/2017)

Rhode Island
(3/26/2009)

IAR

Rhode Island
(3/26/2009)

South Carolina
(1/2/2025)

IAR

South Carolina
(1/2/2025)

Texas
(1/6/2023)

IAR

Texas
(1/6/2023)

Vermont
(5/9/2025)

IAR

Vermont
(5/9/2025)

Virginia
(11/25/2022)

IAR

Virginia
(11/25/2022)

West Virginia
(1/6/2023)

IAR

West Virginia
(2/27/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/29/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CITIZENS SECURITIES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSI ADVISORY SOLUTIONS MANAGED ACCOUNT PROGRAM BROCHURE 6242025 (6/23/2025)

CSI FORM ADV DIGITAL ADVISORY PROGRAM BROCHURE 2142025 (2/13/2025)

Direct owners and executive officers

Name	Position	CRD#
CITIZENS BANK, N.A.	DIRECT OWNERSHIP
ARNOLD, CHAD	COO WEALTH, EXECUTIVE VICE PRESIDENT	3076401
CARVALHO, KEVIN JOHN	CHIEF FINANCIAL OFFICER	6115556
CHERNY, MICHAEL	PRESIDENT	4864410
SHORE, DAVID HOWARD	CHIEF COMPLIANCE OFFICER	2106767

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.

Similar Advisors

Carson Biber

DRAKE & ASSOCIATES, LLC

IAR

WAUKESHA, WI

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

Allen Canete

RBC CAPITAL MARKETS, LLC

IAR

Custer, SD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua D. Giuliano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua David Giuliano's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joshua David Giuliano's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/24/2004

FINRA

Current Firm

CITIZENS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CITIZENS SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors