AW
Adam L. Waldman
CITIZENS SECURITIES
NEW YORK, NY 10019
Some features on this profile are disabled
CRD#: 5153844
AW
Professional summary
Adam L. Waldman, who also goes by Adam L Waldman, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in New York, New York and CITIZENS PRIVATE WEALTH located in New York, New York.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Adam has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Adam L Waldman
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.
New York Community Bancorp (NYCB - 102 Duffy Avenue, Hicksville, NY 11801) is the parent company for Flagstar Advisors, Inc. As such, NYCB (or its affiliates) may pay compensation to the representative including, but not limited to, cash bonuses, equity incentives, and/or referral fees. Title: Group Director Investments - Senior Vice President. Activity is investment related and commenced on 6-1-24. Approximate time required: weekly, includes during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Adam L. Waldman'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
June 24, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 1301 Avenue Of The Americas 2nd Floor, New York, NY, 10019RIA
BD
CRD#: 39550
NEW YORK, NY
Current
July 15, 2025 - Present
CITIZENS PRIVATE WEALTH
Office #1: 1301 Avenue Of The Americas 34th Floor, New York, NY 10019RIA
CRD#: 106743
NEW YORK, NY
Current
June 24, 2025 - Present
CITIZENS SECURITIES, INC.
Office #1: 1301 Avenue Of The Americas 2nd Floor, New York, NY, 10019RIA
BD
CRD#: 39550
NEW YORK, NY
Past
November 3, 2014 - June 26, 2025
FLAGSTAR ADVISORS
RIA
CRD#: 104233
New York, NY
Past
October 24, 2014 - June 26, 2025
FLAGSTAR ADVISORS
BD
CRD#: 104233
New York, NY
Past
November 14, 2013 - September 23, 2014
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
July 2, 2010 - November 20, 2013
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - November 20, 2013
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
December 20, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - (2/20/1992 Approved)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
Arizona(6/24/2025)
IAR
Arizona(7/8/2025)
RR
California(6/24/2025)
IAR
California(6/24/2025)
RR
Colorado(6/24/2025)
IAR
Colorado(6/25/2025)
RR
Connecticut(6/24/2025)
IAR
Connecticut(6/24/2025)
RR
Delaware(6/24/2025)
IAR
Delaware(6/24/2025)
RR
District of Columbia(6/24/2025)
RR
Florida(6/24/2025)
IAR
Florida(6/25/2025)
RR
Georgia(6/24/2025)
IAR
Georgia(6/25/2025)
RR
Hawaii(6/24/2025)
IAR
Hawaii(6/30/2025)
RR
Illinois(6/24/2025)
IAR
Illinois(6/30/2025)
RR
Maine(6/24/2025)
IAR
Maine(6/25/2025)
RR
Maryland(6/24/2025)
IAR
Maryland(6/24/2025)
RR
Massachusetts(6/24/2025)
RR
Michigan(6/24/2025)
IAR
Michigan(6/26/2025)
RR
Missouri(6/24/2025)
IAR
Missouri(6/24/2025)
RR
Nevada(6/24/2025)
IAR
Nevada(6/25/2025)
RR
New Hampshire(6/24/2025)
IAR
New Hampshire(6/24/2025)
RR
New Jersey(6/24/2025)
IAR
New Jersey(6/24/2025)
RR
New York(6/24/2025)
IAR
New York(6/24/2025)
RR
North Carolina(6/24/2025)
IAR
North Carolina(6/24/2025)
RR
Ohio(6/24/2025)
IAR
Ohio(7/2/2025)
RR
Pennsylvania(6/24/2025)
IAR
Pennsylvania(6/24/2025)
RR
Rhode Island(8/26/2025)
IAR
Rhode Island(8/27/2025)
RR
South Carolina(6/24/2025)
IAR
South Carolina(6/25/2025)
RR
Texas(6/24/2025)
IAR
Texas(6/24/2025)
RR
Vermont(6/24/2025)
IAR
Vermont(6/24/2025)
RR
Virginia(6/24/2025)
IAR
Virginia(6/25/2025)
RR
Washington(6/24/2025)
IAR
Washington(6/26/2025)
RR
West Virginia(6/24/2025)
IAR
West Virginia(6/27/2025)
RR
Wisconsin(6/24/2025)
IAR
Wisconsin(6/24/2025)
RR
Wyoming(6/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CP
CITIZENS PRIVATE WEALTH
CITIZENS PRIVATE CLIENT | ESTATE PRESERVATION SERVICES, LLC | CLARFELD FINANCIAL ADVISORS, LLC | CLARFELD FINANCIAL ADVISORS INC | CLARFELD | CITIZENS PRIVATE WEALTH
CRD#: 106743 / SEC#: 801-40835
RIA
Registered Investment Advisory firm - (2/20/1992 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
520 White Plains Road 3rd Floor, Tarrytown, NY 10591
Mailing Address
Phone number
(914) 846-0100
Established
Firm type
Fiscal year end
# of Employees
200
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,846 |
| AUM (Assets Under Management) | $ 12,182,945,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 | ||
| 10/28/2022 |
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.
