PC
Peter N. Cuddy
CITIZENS SECURITIES
WAKEFIELD, RI 02891
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CRD#: 5899022
PC
Professional summary
Peter Nicholas Cuddy, who also goes by Peter Cuddy, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Wakefield, Rhode Island.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Peter has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Cuddy
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.
Hotel Wiskey LLC - agent for property in Wakefield, RI; 5 minutes/month; Start date: 12/2021
CRS (Client Relationship Summary) - RIA
Click below to view Peter Nicholas Cuddy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter Nicholas Cuddy'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 10, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 51 Main Street Mailstop: Ri-026, Wakefield, RI 02891Office #2: 3 Stilson Road Mailstop: Ri-103, Richmond, RI 02898Office #3: 112 Franklin Street Mailstop: Ri-028, Westerly, RI 02891RIA
BD
CRD#: 39550
WAKEFIELD, RI
Current
November 29, 2019 - Present
CITIZENS SECURITIES, INC.
Office #1: 51 Main Street Mailstop: Ri-026, Wakefield, RI 02891Office #2: 3 Stilson Road Mailstop: Ri-103, Richmond, RI 02898Office #3: 112 Franklin Street Mailstop: Ri-028, Westerly, RI 02891RIA
BD
CRD#: 39550
WAKEFIELD, RI
Past
May 1, 2015 - February 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, RI
Past
May 1, 2015 - February 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
Past
October 14, 2014 - April 1, 2015
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
RUMFORD, RI
Past
October 14, 2014 - April 1, 2015
SANTANDER SECURITIES LLC
BD
CRD#: 41791
RUMFORD, RI
Past
July 20, 2011 - September 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PROVIDENCE, RI
Past
June 7, 2011 - September 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PROVIDENCE, RI
Past
March 28, 2011 - May 3, 2011
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
WARWICK, RI
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(5/17/2024)
IAR
California(5/17/2024)
RR
Connecticut(12/9/2019)
IAR
Connecticut(12/10/2019)
RR
Florida(8/23/2022)
IAR
Florida(8/23/2022)
IAR
Maryland(2/3/2022)
RR
Maryland(2/4/2022)
RR
Massachusetts(9/15/2022)
RR
New Jersey(8/5/2021)
IAR
New Jersey(8/5/2021)
IAR
New York(8/19/2024)
RR
New York(8/20/2024)
RR
Ohio(9/6/2024)
RR
Pennsylvania(10/29/2024)
IAR
Pennsylvania(10/30/2024)
RR
Rhode Island(12/5/2019)
IAR
Rhode Island(12/10/2019)
RR
West Virginia(1/13/2025)
IAR
West Virginia(1/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550Wakefield, RI 02891TRUST BUT VERIFY
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