Christopher Mingone

CITIZENS SECURITIES

ST. ALBANS, VT 05478

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CRD#: 7520798

Professional summary

Christopher Mingone is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in St. Albans, Vermont.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Christopher has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Christopher Mingone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Mingone'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

May 1, 2025 - Present

CITIZENS SECURITIES, INC.

Office #1: 152 South Main Street Ms: Vta523, St. Albans, VT 05478Office #2: 68 Helena Drive Ms: Vta525, Williston, VT 05495Office #3: 84 Pearl Street Ms: Vta522, Essex Junction, VT 05452

RIA

CRD#: 39550

ST. ALBANS, VT

Current

May 1, 2025 - Present

CITIZENS SECURITIES, INC.

Office #1: 152 South Main Street Ms: Vta523, St. Albans, VT 05478Office #2: 68 Helena Drive Ms: Vta525, Williston, VT 05495Office #3: 84 Pearl Street Ms: Vta522, Essex Junction, VT 05452

RIA

CRD#: 39550

ST. ALBANS, VT

Past

March 24, 2023 - April 29, 2025

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BURLINGTON, VT

Past

October 5, 2022 - April 29, 2025

EQUITABLE ADVISORS, LLC

CRD#: 6627

BURLINGTON, VT

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(5/1/2025)

IAR

Alabama
(5/2/2025)

Alaska
(5/1/2025)

IAR

Alaska
(5/13/2025)

Arizona
(5/1/2025)

IAR

Arizona
(5/19/2025)

Arkansas
(5/1/2025)

IAR

Arkansas
(5/7/2025)

California
(5/1/2025)

IAR

California
(5/1/2025)

Colorado
(5/1/2025)

IAR

Colorado
(5/2/2025)

Connecticut
(5/1/2025)

IAR

Connecticut
(5/2/2025)

Delaware
(5/1/2025)

IAR

Delaware
(5/12/2025)

District of Columbia
(5/1/2025)

Florida
(5/1/2025)

IAR

Florida
(5/2/2025)

Georgia
(5/1/2025)

IAR

Georgia
(5/2/2025)

Hawaii
(5/1/2025)

IAR

Hawaii
(5/22/2025)

Idaho
(5/1/2025)

IAR

Idaho
(5/1/2025)

Illinois
(5/1/2025)

IAR

Illinois
(5/2/2025)

Indiana
(5/1/2025)

IAR

Indiana
(5/2/2025)

Iowa
(5/1/2025)

IAR

Iowa
(5/2/2025)

Kansas
(5/1/2025)

IAR

Kansas
(5/1/2025)

Kentucky
(5/1/2025)

IAR

Kentucky
(5/2/2025)

Louisiana
(5/1/2025)

IAR

Louisiana
(5/5/2025)

Maine
(5/1/2025)

IAR

Maine
(5/2/2025)

Maryland
(5/1/2025)

IAR

Maryland
(5/1/2025)

Massachusetts
(5/1/2025)

Michigan
(5/1/2025)

IAR

Michigan
(5/5/2025)

Minnesota
(5/1/2025)

IAR

Minnesota
(5/5/2025)

Mississippi
(5/1/2025)

IAR

Mississippi
(5/6/2025)

Missouri
(5/1/2025)

IAR

Missouri
(5/2/2025)

Montana
(5/1/2025)

IAR

Montana
(5/5/2025)

Nebraska
(5/1/2025)

IAR

Nebraska
(5/9/2025)

Nevada
(5/1/2025)

IAR

Nevada
(5/6/2025)

New Hampshire
(5/1/2025)

IAR

New Hampshire
(5/1/2025)

New Jersey
(5/1/2025)

IAR

New Jersey
(5/1/2025)

New Mexico
(5/1/2025)

IAR

New Mexico
(5/2/2025)

New York
(5/1/2025)

IAR

New York
(5/1/2025)

North Carolina
(5/1/2025)

IAR

North Carolina
(5/14/2025)

North Dakota
(5/1/2025)

IAR

North Dakota
(5/12/2025)

Ohio
(5/2/2025)

IAR

Ohio
(5/2/2025)

Oklahoma
(5/1/2025)

IAR

Oklahoma
(5/5/2025)

Oregon
(5/1/2025)

IAR

Oregon
(5/4/2025)

Pennsylvania
(5/1/2025)

IAR

Pennsylvania
(5/1/2025)

Puerto Rico
(5/1/2025)

IAR

Puerto Rico
(5/22/2025)

Rhode Island
(5/1/2025)

IAR

Rhode Island
(5/2/2025)

South Carolina
(5/1/2025)

IAR

South Carolina
(5/6/2025)

South Dakota
(5/1/2025)

IAR

South Dakota
(5/1/2025)

Tennessee
(5/1/2025)

Texas
(5/1/2025)

IAR

Texas
(5/2/2025)

Utah
(5/1/2025)

IAR

Utah
(5/2/2025)

Vermont
(5/1/2025)

IAR

Vermont
(5/5/2025)

Virginia
(5/1/2025)

IAR

Virginia
(5/7/2025)

Washington
(5/1/2025)

IAR

Washington
(5/5/2025)

West Virginia
(5/1/2025)

IAR

West Virginia
(5/8/2025)

Wisconsin
(5/1/2025)

IAR

Wisconsin
(5/13/2025)

Wyoming
(5/1/2025)

IAR

Wyoming
(5/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/17/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/5/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/3/2022

Securities Industry Essentials 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)

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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)

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

Christopher Mingone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Mingone's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christopher Mingone's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CITIZENS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2023

Series 7TO

Date: 10/5/2022

SIE

Date: 6/3/2022

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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