WW
William F. Walthouse
CITIZENS SECURITIES
EAST LYME, CT 06333
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CRD#: 5018484
WW
Professional summary
William Francis Walthouse III, who also goes by Bill Walthouse, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in East Lyme, Connecticut.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. William has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Walthouse
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.
William Walthouse Insurance, insurance broker for various carriers, including MassMutual Life Insurance Co., relationship was started prior to 2/27/17 hire date with St Germain Investment Mgmt, utilizing 4 hours per month outside of normal trading hours
CRS (Client Relationship Summary) - RIA
Click below to view William Francis Walthouse III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Francis Walthouse III'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
October 19, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 15 Chesterfield Rd Ste1 Mailstop: Ct-041, East Lyme, CT 06333Office #2: 33 Center Street Ms: Ma-386, Ludlow, MA 01056Office #3: 228 King Street, Northampton, MA 01060RIA
BD
CRD#: 39550
EAST LYME, CT
Current
October 19, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 15 Chesterfield Rd Ste1 Mailstop: Ct-041, East Lyme, CT 06333Office #2: 33 Center Street Ms: Ma-386, Ludlow, MA 01056Office #3: 228 King Street, Northampton, MA 01060RIA
BD
CRD#: 39550
EAST LYME, CT
Past
February 27, 2017 - August 30, 2022
ST. GERMAIN INVESTMENT MANAGEMENT
RIA
CRD#: 155186
SPRINGFIELD, MA
Past
February 27, 2017 - August 30, 2022
ST. GERMAIN SECURITIES, INC.
BD
CRD#: 3255
SPRINGFIELD, MA
Past
January 30, 2017 - February 17, 2017
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
LUDLOW, MA
Past
October 26, 2016 - February 17, 2017
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
LUDLOW, MA
Past
September 21, 2016 - December 21, 2016
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
LUDLOW, MA
Past
May 16, 2016 - September 21, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
LUDLOW, MA
Past
August 25, 2005 - April 15, 2013
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
HOLYOKE, 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
Connecticut(10/19/2022)
IAR
Connecticut(10/19/2022)
RR
Florida(1/3/2023)
IAR
Florida(1/4/2023)
RR
Massachusetts(10/19/2022)
RR
Rhode Island(1/2/2024)
IAR
Rhode Island(1/4/2024)
RR
Vermont(11/27/2023)
IAR
Vermont(11/27/2023)
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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550East Lyme, CT 06333TRUST BUT VERIFY
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