KJ
Kenneth M. Jarvis
CITIZENS SECURITIES
Wexford, PA 15090
Some features on this profile are disabled
CRD#: 5263743
KJ
Professional summary
Kenneth Michael Jarvis, who also goes by Kenneth Michael Jarvis II, Kenneth Michael Jarvis, Kenneth Jarvis, Kenneth Jarvis Ii, Ken Jarvis, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Wexford, Pennsylvania.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kenneth has worked at 7 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kenneth Michael Jarvis Ii | Kenneth Michael Jarvis | Kenneth Jarvis | Kenneth Jarvis Ii | Ken Jarvis
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.
Cards, Collectibles and Gadgets CCG - Founder and owner of small drop shipping company. Less than 12 hours/month. Start date: 02/19/2020.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Michael Jarvis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Michael Jarvis'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 26, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 11060 Perry Highway, Wexford, PA 15090RIA
BD
CRD#: 39550
Wexford, PA
Current
January 21, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: 11060 Perry Highway, Wexford, PA 15090RIA
BD
CRD#: 39550
Wexford, PA
Past
October 23, 2020 - November 24, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SEWICKLEY, PA
Past
March 23, 2012 - September 29, 2014
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
PITTSBURGH, PA
Past
March 23, 2012 - September 29, 2014
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
February 22, 2012 - March 27, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
SEVEN FIELDS,, PA
Past
May 12, 2011 - August 22, 2011
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
LAS VEGAS, NV
Past
October 8, 2010 - January 28, 2011
WADDELL & REED
RIA
CRD#: 866
LAS VEGAS, NV
Past
September 9, 2010 - January 28, 2011
WADDELL & REED
BD
CRD#: 866
LAS VEGAS, NV
Past
October 16, 2007 - June 14, 2010
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
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(2/10/2022)
IAR
Florida(2/10/2022)
RR
Massachusetts(11/23/2022)
RR
Ohio(6/21/2022)
RR
Pennsylvania(2/26/2021)
IAR
Pennsylvania(2/26/2021)
RR
Virginia(3/4/2025)
IAR
Virginia(3/4/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law 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.
