Thomas B. Metzger

CITIZENS SECURITIES

Westwood, MA 02090

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CRD#: 5311021

Professional summary

Thomas Benjamin Metzger, who also goes by Thomas B Metzger, Tom Metzger, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Westwood, Massachusetts and CITIZENS PRIVATE WEALTH located in Boca Raton, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas B Metzger | Tom Metzger

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.

Rental Property: California Sole Proprietorship Monthly Compensation $0 Start Date: January 2025 Approximate time/month: 1 hour

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Benjamin Metzger's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 10, 2024 - Present

CITIZENS SECURITIES, INC.

Office #1: 200 Station Drive, Westwood, MA 02090Office #2: 750 Redwood Highway Frontage Rd, Suite 1218 , Mill Valley, CA 94941Office #3: 11755 Wilshire Blvd, Los Angeles, CA 90025Office #4: 1 N Federal Hwy 5th Floor, Boca Raton, FL, 33432

RIA

CRD#: 39550

Westwood, MA

Current

October 3, 2024 - Present

CITIZENS PRIVATE WEALTH

Office #1: 1 N Federal Hwy 5th Floor, Boca Raton, FL, 33432

RIA

CRD#: 106743

Boca Raton, FL

Current

January 9, 2024 - Present

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

Westwood, MA

Past

December 5, 2023 - December 10, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

San Francisco, CA

Past

September 29, 2023 - December 10, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

San Francisco, CA

Past

September 30, 2022 - December 12, 2023

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

San Francisco, CA

Past

September 29, 2022 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

San Francisco, CA

Past

February 6, 2014 - September 28, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROSEVILLE, CA

Past

February 6, 2014 - September 28, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROSEVILLE, CA

Past

October 1, 2012 - February 7, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

TORRANCE, CA

Past

October 1, 2012 - February 7, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

TORRANCE, CA

Past

August 25, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SAN DIEGO, CA

Past

April 11, 2007 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SAN DIEGO, CA

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".

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.

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

California
(1/9/2024)

IAR

California
(1/10/2024)

Florida
(9/19/2024)

IAR

Florida
(9/20/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/21/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/18/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/10/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 4/23/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/14/2011

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

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	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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.

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Firm Stability Insights

Thomas B. Metzger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Benjamin Metzger's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS PRIVATE WEALTH

CITIZENS SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

CITIZENS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2009

Series 63

Date: 4/18/2007

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/8/2009

Series 6

Date: 4/10/2007

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 4

Date: 4/23/2012

Series 53

Date: 3/14/2011

Series 24

Date: 8/9/2010

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITIZENS PRIVATE WEALTH

TRUST BUT VERIFY

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