Michael D. Hans

CITIZENS PRIVATE WEALTH

Tarrytown, NY 10591

Some features on this profile are disabled

CRD#: 5583273

Professional summary

Michael D Hans, who also goes by Michael Hans, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Tarrytown, New York and CITIZENS SECURITIES, INC. located in Tarrytown, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Michael has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Hans

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael D Hans'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

June 22, 2021 - Present

CITIZENS PRIVATE WEALTH

Office #1: 520 White Plains Road 3rd Floor, Tarrytown, NY 10591

RIA

CRD#: 106743

Tarrytown, NY

Current

November 18, 2024 - Present

CITIZENS SECURITIES, INC.

Office #1: 520 White Plains Rd Fl 3, Tarrytown, NY 10591

RIA

CRD#: 39550

TARRYTOWN, NY

Past

August 31, 2012 - December 3, 2012

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

TEANECK, NJ

Past

August 31, 2012 - December 3, 2012

CALTON & ASSOCIATES, INC.

CRD#: 20999

TEANECK, NJ

Past

June 3, 2011 - September 5, 2012

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

TEANECK, NJ

Past

December 9, 2008 - September 5, 2012

CETERA WEALTH SERVICES, LLC

CRD#: 13572

TEANECK, NJ

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.

Highlighted states indicate IAR registrations

IAR

New York
(6/22/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/15/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/8/2008

General Securities Representative Examination

Current Firm

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

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Anita Srivastava

MORGAN STANLEY

IAR

Paramus, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael D. Hans

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael D Hans's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

CITIZENS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 6/15/2009

Series 7

Date: 12/8/2008

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

Similar Advisors