MM
Michael K. Mathews
CITIZENS SECURITIES
COVENTRY, RI 02816
Some features on this profile are disabled
CRD#: 4982695
MM
Professional summary
Michael K Mathews, who also goes by Michael Kerry Mathews, Mike K Mathews, Michael K Matthews, Michael Matthews, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Coventry, Rhode Island.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Kerry Mathews | Mike K Mathews | Michael K Matthews | Michael Matthews
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 Libraries of Foster - Board of Trustee/Member; Start date: 04/01/2017; 2 hrs/month.
CRS (Client Relationship Summary) - RIA
Click below to view Michael K Mathews's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael K Mathews'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
August 14, 2012 - Present
CITIZENS SECURITIES, INC.
Office #1: 738 Tiogue Avenue Mailstop: Ri-024, Coventry, RI 02816Office #2: 16 Railroad Ave. Mailstop: Ct-092, Plainfield, CT 06374RIA
BD
CRD#: 39550
COVENTRY, RI
Current
August 8, 2012 - Present
CITIZENS SECURITIES, INC.
Office #1: 738 Tiogue Avenue Mailstop: Ri-024, Coventry, RI 02816Office #2: 16 Railroad Ave. Mailstop: Ct-092, Plainfield, CT 06374RIA
BD
CRD#: 39550
COVENTRY, RI
Past
May 26, 2009 - August 6, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
PLAINVILLE, MA
Past
May 26, 2009 - August 6, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
PLAINVILLE, MA
Past
October 9, 2007 - May 27, 2009
EQUITY SERVICES, INC.
BD
CRD#: 265
WARWICK, RI
Past
July 25, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
PROVIDENCE, RI
Past
July 25, 2005 - September 14, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
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".
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
Connecticut(4/27/2018)
IAR
Connecticut(4/27/2018)
RR
Florida(5/1/2013)
IAR
Florida(8/14/2015)
RR
Maine(8/8/2012)
IAR
Maine(8/7/2019)
RR
Massachusetts(8/8/2012)
RR
Nevada(7/26/2023)
IAR
Nevada(7/26/2023)
RR
New Hampshire(7/19/2023)
IAR
New Hampshire(7/19/2023)
RR
New York(4/30/2018)
IAR
New York(4/8/2021)
RR
Rhode Island(8/8/2012)
IAR
Rhode Island(8/14/2012)
RR
Texas(9/22/2017)
IAR
Texas(9/22/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
