MG
Mauricio Gaitan
CITIZENS SECURITIES
Marlton, NJ 08053
Some features on this profile are disabled
CRD#: 5660392
MG
Professional summary
Mauricio Gaitan is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Marlton, New Jersey.
Mauricio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Mauricio has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 Mauricio Gaitan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mauricio Gaitan'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
November 13, 2017 - Present
CITIZENS SECURITIES, INC.
Office #1: 980 Route 73 N Mailstop: 08b-0403, Marlton, NJ 08053Office #2: 301 South Route 73 Mailstop: 08b-0402, Marlton, NJ 08053Office #3: 531 High Street Mailstop: 08b-6738, Mt. Holly, NJ 08060Office #4: 175 Route 70 Mailstop: 08b-6739, Medford, NJ 08055Office #5: 791 E. Route 70 Mailstop: 08b-6801, Marlton, NJ 08053Office #6: Plaza 2000 79 Route 73 Mailstop: 08b-6802, Voorhees, NJ 08043Office #7: 415 Stokes Road Nj178, Medford, NJ 08055RIA
BD
CRD#: 39550
Marlton, NJ
Current
November 10, 2017 - Present
CITIZENS SECURITIES, INC.
Office #1: 980 Route 73 N Mailstop: 08b-0403, Marlton, NJ 08053Office #2: 301 South Route 73 Mailstop: 08b-0402, Marlton, NJ 08053Office #3: 531 High Street Mailstop: 08b-6738, Mt. Holly, NJ 08060Office #4: 175 Route 70 Mailstop: 08b-6739, Medford, NJ 08055Office #5: 791 E. Route 70 Mailstop: 08b-6801, Marlton, NJ 08053Office #6: Plaza 2000 79 Route 73 Mailstop: 08b-6802, Voorhees, NJ 08043Office #7: 415 Stokes Road Nj178, Medford, NJ 08055RIA
BD
CRD#: 39550
Marlton, NJ
Past
March 31, 2016 - November 1, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
OCEAN CITY, NJ
Past
March 31, 2016 - November 1, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
OCEAN CITY, NJ
Past
January 6, 2015 - March 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
DEPTFORD, NJ
Past
August 26, 2011 - March 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
DEPTFORD, NJ
Past
April 29, 2009 - December 11, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MARLTON, 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".
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
Florida(1/2/2020)
IAR
Florida(1/3/2020)
RR
New Jersey(11/10/2017)
IAR
New Jersey(11/13/2017)
RR
Pennsylvania(11/10/2017)
IAR
Pennsylvania(11/13/2017)
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.
