TL
Talia S. Lazaro-simpson
CITIZENS SECURITIES
EAST HAVEN, CT 06512
Some features on this profile are disabled
CRD#: 5641247
TL
Professional summary
Talia S Lazaro-simpson, who also goes by Talia S Lazaro, Talia Shanay Lazaro, Talia Shanay Lazaro-simpson, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in East Haven, Connecticut.
Talia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Talia has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Talia S Lazaro | Talia Shanay Lazaro | Talia Shanay Lazaro-Simpson
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 Talia S Lazaro-simpson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Talia S Lazaro-simpson'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
December 13, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 263 Hemmingway Avenue Mailstop: Ct279, East Haven, CT 06512RIA
BD
CRD#: 39550
EAST HAVEN, CT
Current
June 27, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 263 Hemmingway Avenue Mailstop: Ct279, East Haven, CT 06512RIA
BD
CRD#: 39550
EAST HAVEN, CT
Past
June 12, 2015 - January 14, 2019
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
FAIRFIELD, 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
California(1/31/2025)
IAR
California(1/31/2025)
RR
Connecticut(11/1/2024)
IAR
Connecticut(12/13/2024)
RR
Florida(1/31/2025)
IAR
Florida(2/3/2025)
RR
Georgia(1/31/2025)
IAR
Georgia(2/3/2025)
RR
Indiana(1/31/2025)
IAR
Indiana(1/31/2025)
RR
Iowa(1/31/2025)
IAR
Iowa(1/31/2025)
RR
Kentucky(1/31/2025)
IAR
Kentucky(1/31/2025)
RR
Maine(1/31/2025)
IAR
Maine(1/31/2025)
RR
Maryland(1/31/2025)
IAR
Maryland(1/31/2025)
RR
Massachusetts(1/31/2025)
RR
Michigan(1/31/2025)
RR
New Hampshire(1/31/2025)
IAR
New Hampshire(1/31/2025)
RR
New Jersey(1/31/2025)
IAR
New Jersey(1/31/2025)
RR
New York(1/31/2025)
IAR
New York(1/31/2025)
RR
North Carolina(1/31/2025)
IAR
North Carolina(1/31/2025)
RR
Pennsylvania(1/31/2025)
IAR
Pennsylvania(1/31/2025)
RR
Rhode Island(1/31/2025)
IAR
Rhode Island(1/31/2025)
RR
South Carolina(1/31/2025)
IAR
South Carolina(1/31/2025)
RR
Virginia(1/31/2025)
IAR
Virginia(1/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2024
General Securities Representative ExaminationGeneral 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550East Haven, CT 06512TRUST BUT VERIFY
Monitor Talia Lazaro-simpson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
