CH
Cara M. Hayes
CITIZENS SECURITIES
Johnston, RI 02043
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CRD#: 7070912
CH
Professional summary
Cara Marie Hayes, who also goes by Cara M Buzzi, Cara Buzzi, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Johnston, Rhode Island.
Cara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Cara has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cara M Buzzi | Cara Buzzi
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) Notary Public. 2) Girl Scouts of Southern NE - cookie booth supervisor volunteer. 2-4 hours/month. Start date: 02/2022.
CRS (Client Relationship Summary) - RIA
Click below to view Cara Marie Hayes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cara Marie Hayes'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
June 18, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: One Citizens Bank Way Jcb135, Johnston, RI 02043RIA
BD
CRD#: 39550
Johnston, RI
Current
June 18, 2021 - Present
CITIZENS SECURITIES, INC.
Office #1: One Citizens Bank Way Jcb135, Johnston, RI 02919RIA
BD
CRD#: 39550
Johnston, RI
Past
January 28, 2021 - June 15, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Providence, RI
Past
January 28, 2021 - June 15, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Providence, RI
Past
November 7, 2019 - July 20, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, RI
Past
October 7, 2019 - July 20, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, 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
Connecticut(6/18/2021)
IAR
Connecticut(6/18/2021)
RR
Delaware(6/18/2021)
IAR
Delaware(6/18/2021)
RR
Florida(6/18/2021)
IAR
Florida(7/6/2021)
RR
Massachusetts(6/18/2021)
RR
Michigan(6/18/2021)
IAR
Michigan(6/18/2021)
RR
New Hampshire(6/18/2021)
IAR
New Hampshire(6/18/2021)
RR
New Jersey(6/18/2021)
IAR
New Jersey(6/21/2021)
RR
New York(6/18/2021)
IAR
New York(6/18/2021)
IAR
Ohio(6/18/2021)
RR
Ohio(6/21/2021)
RR
Pennsylvania(6/18/2021)
IAR
Pennsylvania(6/18/2021)
RR
Rhode Island(6/18/2021)
IAR
Rhode Island(6/18/2021)
RR
Vermont(6/18/2021)
IAR
Vermont(6/23/2021)
IAR
West Virginia(11/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/7/2019
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#: 39550Johnston, RI 02043TRUST BUT VERIFY
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