US
Urja S. Shah
CITIZENS SECURITIES
Succasunna, NJ 07876
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CRD#: 5713515
US
Professional summary
Urja S Shah, AIF®, who also goes by Urja S Shah N/a, Urja Shah, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Succasunna, New Jersey.
Urja is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Urja has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Urja S Shah N/a | Urja Shah
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.
1. RENTAL PROPERTY/INVESTMENT PROPERTY, 100% OWNER 2. Name of OBA: Rental Property, Position: Landlord, Type of Entity: None, Responsibilities of Position: Landlord, Monthly Compensation / Net Worth: $6K / Month (Expected), Date of Initial Involvement: 08/26/2025, Approximate Amount of Time Devoted on a Monthly Basis: None - Property Manager on Site.
CRS (Client Relationship Summary) - RIA
Click below to view Urja S Shah's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Urja S Shah'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®
Experience
Current
August 17, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 2 Commerce Blvd Ms: Nj199, Succasunna, NJ 07876Office #2: 276 East Main St Ms: Nj125, Denville, NJ 07834Office #3: 453 Speedwell Ave Ms: Nj183, Morris Plains, NJ 07950Office #4: 45 Washington St Ms: Nj184, Morristown, NJ 07960RIA
BD
CRD#: 39550
Succasunna, NJ
Current
August 17, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 2 Commerce Blvd Ms: Nj199, Succasunna, NJ 07876Office #2: 276 East Main St Ms: Nj125, Denville, NJ 07834Office #3: 453 Speedwell Ave Ms: Nj183, Morris Plains, NJ 07950Office #4: 45 Washington St Ms: Nj184, Morristown, NJ 07960RIA
BD
CRD#: 39550
Succasunna, NJ
Past
December 14, 2017 - August 17, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SUCCASUNNA, NJ
Past
December 6, 2017 - August 17, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SUCCASUNNA, NJ
Past
January 12, 2017 - December 6, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
MORRISTOWN, NJ
Past
January 12, 2017 - December 6, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
MORRISTOWN, NJ
Past
August 15, 2013 - January 6, 2017
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
ROCKAWAY, NJ
Past
September 19, 2012 - January 6, 2017
SANTANDER SECURITIES LLC
BD
CRD#: 41791
ROCKAWAY, NJ
Past
October 5, 2009 - September 19, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
PARSIPPANY, 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(8/17/2022)
IAR
Florida(8/18/2022)
RR
New Jersey(8/17/2022)
IAR
New Jersey(8/17/2022)
RR
New York(8/17/2022)
IAR
New York(8/18/2022)
RR
Pennsylvania(8/17/2022)
IAR
Pennsylvania(8/18/2022)
RR
South Carolina(1/2/2024)
IAR
South Carolina(1/2/2024)
RR
Texas(8/17/2022)
IAR
Texas(8/19/2022)
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.
