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Frederick Hepfer

Citizens Securities, Inc.

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About Frederick Hepfer

Frederick Hepfer has been in the financial services industry since May 2000. Frederick is a Registered Representative with Citizens Securities, Inc. in Clifton Park, NY. Prior to joining Citizens Securities, Inc., Frederick was employed by M&T Securities, Inc., Key Investment Services LLC and CCO Investment Services Corp. in New York. Frederick is licensed in New York and Missouri and holds FINRA Series 7, Series 31 and SIE licenses. Frederick also holds a Series 65 and Series 66 license. Frederick provides financial planning and portfolio management services to individuals and corporations.

Firm Information

Frederick Hepfer is currently registered with Citizens Securities, Inc.. Citizens Securities, Inc. is a corporation headquartered in Johnston, Rhode Island, and was formed on September 21, 1995. The firm manages approximately $1 billion to $10 billion in assets and provides financial planning, portfolio management for individuals and selection of other advisors. They also participate in a wrap fee program. The firm has regulatory assets under management of $9.19 billion in 53,044 accounts. Citizens Securities is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.
Citizens Securities, Inc.

ONE CITIZENS BANK WAY

JOHNSTON, RI 02043

$9.19B

Assets Under Management

53,044

Total Clients

788

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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participate in wrap fee program

Participate in wrap fee program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Frederick Hepfer’s Registration & Firm History

NY

05/24/2021 - Present

Citizens Securities, Inc. (CLIFTON PARK NY)

NY

06/21/2019 - 05/28/2021

M&T SECURITIES, INC. (ALBANY NY)

NY

07/30/2014 - 06/18/2019

KEY INVESTMENT SERVICES LLC (RENSSELAER NY)

NY

07/16/2013 - 07/31/2014

CCO INVESTMENT SERVICES CORP. (SCHENECTADY NY)

NY

02/22/2010 - 07/10/2013

HALLIDAY FINANCIAL, LLC (ALBANY NY)

NY

06/01/2009 - 02/24/2010

MORGAN STANLEY SMITH BARNEY (ALBANY NY)

NY

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (ALBANY NY)

NY

04/12/2002 - 04/02/2007

MORGAN STANLEY DW INC. (ALBANY NY)

NY

05/15/2000 - 04/16/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/31/2019

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 07/05/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/20/2006

Series 31 - Futures Managed Funds Examination

BC

Issued 05/10/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Frederick Hepfer.
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