BG
Brian R. Gaumont
CITIZENS SECURITIES
Somersworth, NH 03878
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CRD#: 5229110
BG
Professional summary
Brian Robert Gaumont, who also goes by Brian R Gaumont, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Somersworth, New Hampshire.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brian has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian R Gaumont
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 advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Robert Gaumont's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Robert Gaumont'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
March 2, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: One Constitutional Way Ms: Nh455, Somersworth, NH 03878Office #2: 56 Tri-city Plaza Ms: Nh456, Somersworth, NH 03878Office #3: 33 Coliseum Avenue Ms: Nh482, Nashua, NH 03063Office #4: 277 Dw Highway Mailstop: Nh484, Nashua, NH 03060RIA
BD
CRD#: 39550
Somersworth, NH
Current
February 28, 2020 - Present
CITIZENS SECURITIES, INC.
Office #1: One Constitutional Way Ms: Nh455, Somersworth, NH 03878Office #2: 56 Tri-city Plaza Ms: Nh456, Somersworth, NH 03878Office #3: 33 Coliseum Avenue Ms: Nh482, Nashua, NH 03063Office #4: 277 Dw Highway Mailstop: Nh484, Nashua, NH 03060RIA
BD
CRD#: 39550
Somersworth, NH
Past
July 28, 2015 - February 26, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
AYER, MA
Past
July 22, 2015 - February 26, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
AYER, MA
Past
April 3, 2015 - July 13, 2015
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ANDOVER, MA
Past
April 2, 2015 - July 13, 2015
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
JOHNSTON, RI
Past
January 7, 2013 - March 27, 2015
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
METHUEN, MA
Past
January 7, 2013 - March 27, 2015
SANTANDER SECURITIES LLC
BD
CRD#: 41791
METHUEN, MA
Past
April 17, 2012 - January 3, 2013
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
WALTHAM, MA
Past
April 17, 2012 - January 3, 2013
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
WALTHAM, MA
Past
January 27, 2011 - April 18, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOLLIS, NH
Past
January 24, 2011 - April 18, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
HOLLIS, NH
Past
April 3, 2009 - November 17, 2009
EDWARD JONES
RIA
CRD#: 250
DEERFIELD, NH
Past
March 16, 2009 - November 17, 2009
EDWARD JONES
BD
CRD#: 250
DEERFIELD, NH
Past
September 25, 2007 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
EXETER, NH
Past
June 6, 2007 - August 6, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PORTSMOUTH, NH
Past
December 13, 2006 - April 25, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WALTHAM, 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
California(10/17/2025)
RR
Florida(5/12/2021)
IAR
Florida(5/13/2021)
RR
Maine(10/26/2020)
IAR
Maine(10/27/2020)
RR
Massachusetts(2/28/2020)
RR
Minnesota(5/3/2023)
IAR
Minnesota(5/5/2023)
RR
New Hampshire(2/28/2020)
IAR
New Hampshire(3/2/2020)
RR
South Carolina(6/7/2021)
IAR
South Carolina(6/8/2021)
RR
Wisconsin(5/3/2023)
IAR
Wisconsin(5/5/2023)
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#: 39550Somersworth, NH 03878TRUST BUT VERIFY
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