KR
Kenneth R. Roque
CITIZENS SECURITIES
HADLEY, MA 01035
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CRD#: 6443987
KR
Kenneth R RoqueCITIZENS SECURITIES
Professional summary
Kenneth R Roque, who also goes by Kenneth R Roque, Kenneth Rafael Roque, Kenneth Roque, Kenny R Roque, Kenny Rafael Roque, Kenny Roque, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Hadley, Massachusetts.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kenneth has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Aliases
Kenneth R Roque | Kenneth Rafael Roque | Kenneth Roque | Kenny R Roque | Kenny Rafael Roque | Kenny Roque
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.
Army National Guard- Company Commander Responsibilities: Serving in the Army National Guard. Leading, planning and training up to 40 soldiers Date of Initial Involvement: 06/03/2018 Approximate amount of time/month: 16-20 hours Rental Property- Landlord Sole Proprietorship Westfield, Massachusetts Responsibilities: Landlord and rental collection for a private property Date of Initial Involvement: 08/01/2026 Approximate amount of time/month: 15-24 hours
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth R Roque's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth R Roque'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
September 1, 2026 - Present
CITIZENS SECURITIES, INC.
Office #1: 440 Russell Street, Hadley, MA 01035RIA
BD
CRD#: 39550
HADLEY, MA
Current
September 1, 2026 - Present
CITIZENS SECURITIES, INC.
Office #1: 440 Russell Street, Hadley, MA 01035RIA
BD
CRD#: 39550
HADLEY, MA
Past
May 26, 2022 - September 2, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WEST SPRINGFIELD, MA
Past
March 3, 2022 - September 2, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WEST SPRINGFIELD, MA
Past
March 23, 2021 - January 24, 2022
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
WEST SPRINGFIELD, MA
Past
July 1, 2015 - November 15, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
BROOKLYN, NY
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
Connecticut(9/1/2026)
IAR
Connecticut(9/1/2026)
RR
Florida(9/1/2026)
IAR
Florida(9/2/2026)
RR
Massachusetts(9/1/2026)
RR
Rhode Island(9/1/2026)
Exams
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Passed: 3/18/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 6/30/2015
Investment Company Products/Variable Contracts Representative Examination
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 02919
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
471
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 60,545 |
| AUM (Assets Under Management) | $ 12,868,719,975 |
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.
