Carrie M. Fleetwood

CITIZENS SECURITIES

JOHNSTON, RI 02919

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CRD#: 5913357

Professional summary

Carrie Marie Fleetwood, who also goes by Carrie M Fleetwood, Carrie Fleetwood, is a registered financial professional currently at CITIZENS SECURITIES, INC. located in Johnston, Rhode Island.

Carrie is registered as a RR (Registered Representative) and started their career in finance in 2011. Carrie has worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

Carrie M Fleetwood | Carrie Fleetwood

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carrie Marie Fleetwood's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 10, 2026 - Present

CITIZENS SECURITIES, INC.

Office #1: 1 Citizens Bank Way, Johnston, RI 02919

RIA

CRD#: 39550

JOHNSTON, RI

Past

March 27, 2025 - May 5, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

Glastonbury, CT

Past

February 8, 2021 - December 22, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CRANSTON, RI

Past

April 14, 2020 - February 8, 2021

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

October 21, 2019 - December 10, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WESTERLY, RI

Past

September 18, 2018 - October 22, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CRANSTON, RI

Past

September 22, 2017 - September 6, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

WARWICK, RI

Past

February 29, 2016 - June 14, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CRANSTON, RI

Past

September 22, 2015 - February 26, 2016

SANTANDER SECURITIES LLC

CRD#: 41791

East Providence, RI

Past

August 20, 2014 - August 24, 2015

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

NORTH WINDHAM, CT

Past

August 20, 2014 - August 24, 2015

OSAIC INSTITUTIONS, INC.

CRD#: 35371

NORTH WINDHAM, CT

Past

February 21, 2014 - August 7, 2014

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

PLAINFIELD, CT

Past

February 19, 2014 - August 7, 2014

CITIZENS SECURITIES, INC.

CRD#: 39550

PLAINFIELD, CT

Past

December 23, 2013 - January 22, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LINCOLN, RI

Past

December 23, 2013 - January 22, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LINCOLN, RI

Past

May 1, 2013 - November 15, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PROVIDENCE, RI

Past

May 1, 2013 - November 15, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PROVIDENCE, RI

Past

June 30, 2011 - July 25, 2011

MORGAN STANLEY

RIA

CRD#: 149777

PROVIDENCE, RI

Past

June 3, 2011 - July 25, 2011

MORGAN STANLEY

CRD#: 149777

PROVIDENCE, 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".

CITIZENS SECURITIES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/29/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/2/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CITIZENS SECURITIES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

PREMIUM

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CSI ADVISORY SOLUTIONS MANAGED ACCOUNT PROGRAM BROCHURE 6242025 (6/23/2025)

CSI FORM ADV DIGITAL ADVISORY PROGRAM BROCHURE 2142025 (2/13/2025)

Direct owners and executive officers

Name	Position	CRD#
CITIZENS BANK, N.A.	DIRECT OWNERSHIP
ARNOLD, CHAD	COO WEALTH, EXECUTIVE VICE PRESIDENT	3076401
CARVALHO, KEVIN JOHN	CHIEF FINANCIAL OFFICER	6115556
CHERNY, MICHAEL	PRESIDENT	4864410
SHORE, DAVID HOWARD	CHIEF COMPLIANCE OFFICER	2106767

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.

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Advisor Monitoring

Firm Stability Insights

Carrie M. Fleetwood

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carrie Marie Fleetwood's CRS (Customer Relationship Summary).

Certified licenses

Experience

CADARET, GRANT & CO., INC.

AMERIPRISE FINANCIAL SERVICES, LLC

RIVERSOURCE DISTRIBUTORS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

SANTANDER SECURITIES LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2011

SIE

Date: 10/1/2018

Series 7

Date: 6/2/2011

FINRA

Current Firm

CITIZENS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CITIZENS SECURITIES, INC.

TRUST BUT VERIFY

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