JE
Juan N. Espinosa
CITIZENS SECURITIES
Flushing, NY 11354
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CRD#: 5039746
JE
Professional summary
Juan Nicolas Espinosa, who also goes by Juan N Espinosa, Nick Espinosa, Juan Espinosa, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Flushing, New York.
Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Juan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Juan N Espinosa | Nick Espinosa | Juan Espinosa
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.
Goals Based Soccer - owner; soccer trainer; 12 hours/month; Star date: 09/05/2022
CRS (Client Relationship Summary) - RIA
Click below to view Juan Nicolas Espinosa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Juan Nicolas Espinosa'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
December 7, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 144-01 Northern Boulevard Ms: Ny304, Flushing, NY 11354Office #2: 150-07 14th Ave Ms: Ny481, Whitestone, NY 11357Office #3: 43-08 Bell Blvd Ms: Ny390, Bayside, NY 11361Office #4: 58-25 Myrtle Ave Ny475, Queens, NY 11385Office #5: 57 Middle Neck Rd Ms: Ny316, Great Neck, NY 11021RIA
BD
CRD#: 39550
Flushing, NY
Current
December 8, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 144-01 Northern Boulevard Ms: Ny304, Flushing, NY 11354Office #2: 150-07 14th Ave Ms: Ny481, Whitestone, NY 11357Office #3: 43-08 Bell Blvd Ms: Ny390, Bayside, NY 11361Office #4: 58-25 Myrtle Ave Ny475, Queens, NY 11385Office #5: 57 Middle Neck Rd Ms: Ny316, Great Neck, NY 11021RIA
BD
CRD#: 39550
Flushing, NY
Past
June 14, 2019 - November 23, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MELVILLE, NY
Past
June 14, 2019 - November 23, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MELVILLE, NY
Past
December 19, 2016 - June 26, 2019
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WOODHAVEN, NY
Past
December 19, 2016 - June 26, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WOODHAVEN, NY
Past
March 30, 2015 - December 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BAYSIDE, NY
Past
March 27, 2015 - December 6, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BAYSIDE, NY
Past
September 5, 2014 - April 1, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
MANHASSET, NY
Past
September 4, 2014 - April 1, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MANHASSET, NY
Past
October 23, 2009 - August 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WHITE PLAINS, NY
Past
October 23, 2009 - August 27, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WHITE PLAINS, NY
Past
August 28, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
GREENWICH, CT
Past
August 5, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
GREENWICH, CT
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
Florida(3/9/2023)
IAR
Florida(3/9/2023)
RR
New Jersey(12/8/2022)
IAR
New Jersey(12/15/2022)
RR
New Mexico(7/19/2023)
IAR
New Mexico(7/20/2023)
IAR
New York(12/7/2022)
RR
New York(12/8/2022)
RR
Pennsylvania(8/7/2024)
IAR
Pennsylvania(8/8/2024)
Exams
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.
