Travis James Sousa

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Contact Information

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Disclosures on record.

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.

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Years of Experience

21 years registered in the securities industry

Current & Past Employments

Current

CITIZENS SECURITIES, INC.Current·CRD# 39550

RIA

BD

1. 815 Grand Army Highway, Somerset, MA 027252. 550 Tarkin Hill Road, New Bedford, MA 02745

March 31, 2010 - Present

CITIZENS SECURITIES, INC.Current·CRD# 39550

RIA

BD

1. 815 Grand Army Highway, Somerset, MA 027252. 550 Tarkin Hill Road, New Bedford, MA 02745

March 31, 2010 - Present

Past

MML INVESTORS SERVICES, LLCPast·CRD# 10409

RIA

Providence, RI

February 17, 2009 - February 9, 2010

MML INVESTORS SERVICES, LLCPast·CRD# 10409

BD

Providence, RI

February 17, 2009 - February 9, 2010

AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363

RIA

Cranston, RI

August 31, 2005 - November 26, 2008

AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363

BD

Cranston, RI

July 11, 2005 - November 26, 2008

IDS LIFE INSURANCE COMPANYPast·CRD# 6321

BD

Minneapolis, MN

July 11, 2005 - July 3, 2006

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Current Firm

CS

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)

BD

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).

Contact Information

Main Address

One Citizens Bank Way Jcb135, Johnston, RI 02919

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

471

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CSI FORM ADV PART 2A MANAGED ACCOUNT PROGRAM BROCHURE 09022026 (9/3/2026)

CSI FORM ADV PART 2A DIGITAL ADVISORY PROGRAM BROCHURE 03182026 (3/20/2026)

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

60,545

AUM (Assets Under Management)

$12,868,719,975

Disclosures

Regulatory Event

16

Arbitration

6

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Barclay Manor Assoc., Secretary, Recording meeting notes, 30 min monthly 12/1/2016

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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.

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)

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(1/5/2016)

IAR

Arizona
(1/19/2016)

RR

California
(7/25/2017)

IAR

California
(7/26/2017)

RR

Florida
(5/11/2011)

IAR

Florida
(8/13/2015)

RR

Iowa
(4/29/2022)

IAR

Iowa
(4/29/2022)

RR

Maine
(8/11/2022)

IAR

Maine
(8/12/2022)

RR

Maryland
(8/28/2019)

IAR

Maryland
(11/17/2025)

RR

Massachusetts
(1/7/2020)

RR

Michigan
(6/29/2016)

IAR

Michigan
(7/1/2016)

RR

New Hampshire
(8/31/2021)

IAR

New Hampshire
(9/7/2021)

RR

New Jersey
(11/12/2024)

IAR

New Jersey
(11/13/2024)

RR

North Carolina
(4/10/2012)

IAR

North Carolina
(6/29/2016)

RR

Rhode Island
(3/31/2010)

IAR

Rhode Island
(3/31/2010)

RR

South Carolina
(6/29/2022)

IAR

South Carolina
(7/6/2022)

RR

Washington
(11/2/2023)

IAR

Washington
(11/24/2025)

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.