FA
Francis A. Abanga
CITIZENS SECURITIES
New Rochelle, NY 10801
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CRD#: 5430296
FA
Professional summary
Francis Asugya Abanga, who also goes by Francis Asugya Abanga Mr., Francis Abanga, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in New Rochelle, New York.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Francis has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francis Asugya Abanga Mr. | Francis Abanga
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 - Bronx, NY; Investment-related; Started: 4/01/2022; Title: Owner; Duties: Owner of the two family house. I fix the house and clean around the house.; No time is devoted each month during securities trading hours; 4 hours are devoted each month outside of securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Francis Asugya Abanga's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Francis Asugya Abanga'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
April 12, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 260 North Ave Ms: Ny353, New Rochelle, NY 10801Office #2: 778 Yonkers Ave Ms: Ny360, Yonkers, NY 10704Office #3: 449 South Broadway Ms: Ny361, Yonkers, NY 10705Office #4: 3478 Boston Rd. Ms: Ny344, Bronx, NY 10469Office #5: 1499 West Avenue Ms: Ny326, Bronx, NY 10462RIA
BD
CRD#: 39550
New Rochelle, NY
Current
April 12, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 260 North Ave Ms: Ny353, New Rochelle, NY 10801Office #2: 778 Yonkers Ave Ms: Ny360, Yonkers, NY 10704Office #3: 449 South Broadway Ms: Ny361, Yonkers, NY 10705Office #4: 3478 Boston Rd. Ms: Ny344, Bronx, NY 10469Office #5: 1499 West Avenue Ms: Ny326, Bronx, NY 10462RIA
BD
CRD#: 39550
New Rochelle, NY
Past
September 21, 2017 - April 4, 2023
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BRONX, NY
Past
September 18, 2017 - April 4, 2023
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BRONX, NY
Past
November 10, 2014 - September 27, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BRONX, NY
Past
November 3, 2014 - September 27, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BRONX, NY
Past
November 20, 2013 - November 10, 2014
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
JACKSON HEIGHTS, NY
Past
November 19, 2013 - November 10, 2014
SANTANDER SECURITIES LLC
BD
CRD#: 41791
JACKSON HEIGHTS, NY
Past
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
BRONX, NY
Past
October 1, 2012 - November 5, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BRONX, NY
Past
November 25, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BRONX, NY
Past
October 24, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BRONX, 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".
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
Connecticut(4/12/2023)
IAR
Connecticut(4/12/2023)
RR
Florida(1/3/2025)
IAR
Florida(1/6/2025)
RR
New Jersey(4/12/2023)
IAR
New Jersey(4/12/2023)
RR
New York(4/12/2023)
IAR
New York(4/12/2023)
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.
