IT
Iesha N. Thomas
CITIZENS SECURITIES
PITTSBURGH, PA 15220
Some features on this profile are disabled
CRD#: 5867939
IT
Professional summary
Iesha Nicole Thomas, who also goes by Iesha Nicole Thomas, Iesha Thomas, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Pittsburgh, Pennsylvania.
Iesha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Iesha has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Iesha Nicole Thomas | Iesha Thomas
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) 05/18/2022- Lyft and Uber-Not Investment Related - Outside/W-2 Employment- Rideshare driver- Start Date- 09/2018- 10 Hours Per Month 2) Real Estate Rental -Position Owner - Manage real Estate Rentals Start date 10/2017 - 30 hours per month. 3) Share My Office LLC - Owner - Offer available office Space - Start date 10/01/2021 - 5 Hours per month. 4) Tommie Nicole LLC - Owner - Sale Writing Services to Prospective Clients - Start date 01/01/2017 - 20 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Iesha Nicole Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Iesha Nicole Thomas'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
August 15, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 1701 Cochran Rd Mailstop: 15b-0019, Pittsburgh, PA 15220Office #2: 4314 Penn Ave Mailstop: 15b-0099, Pittsburgh, PA 15224Office #3: 2001 Lincoln Way Mailstop: 15b-6815, White Oak, PA 15131RIA
BD
CRD#: 39550
PITTSBURGH, PA
Current
August 15, 2022 - Present
CITIZENS SECURITIES, INC.
Office #1: 1701 Cochran Rd Mailstop: 15b-0019, Pittsburgh, PA 15220Office #2: 4314 Penn Ave Mailstop: 15b-0099, Pittsburgh, PA 15224Office #3: 2001 Lincoln Way Mailstop: 15b-6815, White Oak, PA 15131RIA
BD
CRD#: 39550
PITTSBURGH, PA
Past
May 18, 2022 - August 22, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
BEAVER, PA
Past
May 18, 2022 - August 22, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
BEAVER, PA
Past
June 8, 2018 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
BEAVER, PA
Past
June 7, 2018 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
BEAVER, PA
Past
May 26, 2016 - October 24, 2017
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CHARLOTTE, NC
Past
September 16, 2013 - May 24, 2016
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CHARLOTTE, NC
Past
July 3, 2013 - October 24, 2017
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CHARLOTTE, NC
Past
January 17, 2013 - July 9, 2013
PFS INVESTMENTS INC.
BD
CRD#: 10111
PITTSBURGH, PA
Past
February 8, 2012 - June 5, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
PITTSBURGH, PA
Past
February 15, 2011 - February 6, 2012
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
PITTSBURGH, PA
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
Pennsylvania(8/15/2022)
IAR
Pennsylvania(8/15/2022)
Exams
State Security Law Exam
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.
