YA
Yaldez Abdel Samed
CITIZENS SECURITIES
EAST HAMPTON, CT 06424
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CRD#: 5623606
YA
Professional summary
Yaldez Abdel Samed, who also goes by Lisa Abdel-samed, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in East Hampton, Connecticut.
Yaldez is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Yaldez has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Abdel-Samed
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 Yaldez Abdel Samed's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yaldez Abdel Samed'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
May 31, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 8 East High Street Mailstop: Ct-270, East Hampton, CT 06424Office #2: 354 Broad Street Mailstop: Ct-232, Manchester, CT 06040RIA
BD
CRD#: 39550
EAST HAMPTON, CT
Current
May 31, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 8 East High Street Mailstop: Ct-270, East Hampton, CT 06424Office #2: 354 Broad Street Mailstop: Ct-232, Manchester, CT 06040RIA
BD
CRD#: 39550
EAST HAMPTON, CT
Past
September 21, 2016 - May 30, 2019
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
WETHERSFIELD, CT
Past
September 21, 2016 - May 30, 2019
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
WETHERSFIELD, CT
Past
July 24, 2013 - September 21, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
EAST HARTFORD, CT
Past
September 21, 2012 - September 21, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
EAST HARTFORD, CT
Past
February 7, 2011 - September 2, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
January 3, 2011 - February 5, 2011
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
July 15, 2010 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 10, 2009 - July 15, 2010
MORGAN STANLEY
RIA
CRD#: 149777
WEST HARTFORD, CT
Past
June 1, 2009 - July 15, 2010
MORGAN STANLEY
BD
CRD#: 149777
WEST HARTFORD, CT
Past
April 2, 2009 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WEST HARTFORD, CT
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
Arizona(6/11/2024)
RR
California(9/29/2020)
IAR
California(9/29/2020)
RR
Connecticut(5/31/2019)
IAR
Connecticut(5/31/2019)
RR
Florida(1/3/2020)
IAR
Florida(1/3/2020)
RR
Georgia(1/3/2020)
IAR
Georgia(1/3/2020)
RR
Massachusetts(5/31/2019)
RR
New Hampshire(1/12/2023)
IAR
New Hampshire(1/12/2023)
IAR
North Carolina(4/21/2023)
RR
North Carolina(5/2/2023)
RR
Rhode Island(6/10/2022)
IAR
Rhode Island(6/10/2022)
Exams
State Security Law 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.
