SP
Steven A. Potwin
CITIZENS SECURITIES
BRATTLEBORO, VT 05301
Some features on this profile are disabled
CRD#: 5015762
SP
Professional summary
Steven Andrew Potwin, who also goes by Steve Potwin, Steven Andrew Potwin, Steven Potwin, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Brattleboro, Vermont.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Potwin | Steven Andrew Potwin | Steven Potwin
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) Greater Monadnock Collaborative - Member - Attend events for networking in my community. 6-8 monthly. 2) Notary Public
CRS (Client Relationship Summary) - RIA
Click below to view Steven Andrew Potwin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Andrew Potwin'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
February 20, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 894 N. Putney Road Ms: Vta 529, Brattleboro, VT 05301Office #2: 74 Pleasant St. Ms: Nh425, Claremont, NH 03743RIA
BD
CRD#: 39550
BRATTLEBORO, VT
Current
February 21, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 894 N. Putney Road Ms: Vta 529, Brattleboro, VT 05301Office #2: 74 Pleasant St. Ms: Nh425, Claremont, NH 03743RIA
BD
CRD#: 39550
BRATTLEBORO, VT
Past
May 25, 2023 - February 9, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
KEENE, NH
Past
May 25, 2023 - February 9, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
KEENE, NH
Past
August 19, 2022 - April 21, 2023
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
NASHUA, NH
Past
August 15, 2022 - April 21, 2023
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
NASHUA, NH
Past
July 2, 2018 - August 23, 2021
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
MANCHESTER, NH
Past
May 30, 2018 - August 23, 2021
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
MANCHESTER, NH
Past
October 11, 2012 - February 16, 2018
SANTANDER SECURITIES LLC
BD
CRD#: 41791
DORCHESTER, MA
Past
June 1, 2009 - September 26, 2011
MORGAN STANLEY
BD
CRD#: 149777
BOSTON, MA
Past
November 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BOSTON, MA
Past
October 19, 2005 - October 20, 2006
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MARLBOROUGH, MA
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
Alabama(7/24/2024)
IAR
Alabama(7/25/2024)
RR
Florida(3/11/2025)
IAR
Florida(3/11/2025)
RR
Massachusetts(4/10/2024)
IAR
New Hampshire(2/20/2024)
RR
New Hampshire(2/21/2024)
RR
Vermont(4/10/2024)
IAR
Vermont(4/10/2024)
Exams
State Security Law Exam
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#: 39550Brattleboro, VT 05301TRUST BUT VERIFY
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