ER
Elizabeth R. Rogers
CITIZENS SECURITIES
WEST LEBANON, NH 03784
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CRD#: 6931410
ER
Professional summary
Elizabeth Rose Rogers, who also goes by Elizabeth Rogers, Elle Rose Rogers, Elizabeth R Rogers, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in West Lebanon, New Hampshire.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Elizabeth has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Elizabeth Rogers | Elle Rose Rogers | Elizabeth R Rogers
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.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Rose Rogers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Rose Rogers'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 30, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 1 Interchange Drive, Suite 1 Mailstop: Nh439, West Lebanon, NH 03784RIA
BD
CRD#: 39550
WEST LEBANON, NH
Current
August 29, 2023 - Present
CITIZENS SECURITIES, INC.
Office #1: 1 Interchange Drive, Suite 1 Mailstop: Nh439, West Lebanon, NH 03784RIA
BD
CRD#: 39550
WEST LEBANON, NH
Past
September 30, 2022 - August 17, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
MERRIMACK, NH
Past
September 19, 2022 - August 16, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
MERRIMACK, NH
Past
September 16, 2020 - February 22, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LEBANON, NH
Past
March 22, 2019 - February 22, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LEBANON, NH
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
Massachusetts(10/10/2023)
RR
New Hampshire(9/1/2023)
IAR
New Hampshire(9/1/2023)
RR
Vermont(8/30/2023)
IAR
Vermont(8/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2019
General Securities Representative ExaminationGeneral 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.
Company Information
CITIZENS SECURITIES, INC.
CRD#: 39550West Lebanon, NH 03784TRUST BUT VERIFY
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