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James Bernard Simon

Citizens Securities, Inc.

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About James Bernard Simon

James Bernard Simon is a registered representative with Citizens Securities, Inc. James has been in the industry since 1988 and is currently registered in nine states. James is also licensed as an investment advisor representative and has a combined experience of over 35 years in the financial services industry. James has a strong background in providing financial planning, portfolio management and selection of other advisers.

Firm Information

James Simon 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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James Simon’s Registration & Firm History

PA

09/05/2024 - Present

Citizens Securities, Inc. (LANSDALE PA)

PA

01/05/2009 - 02/24/2014

WELLS FARGO ADVISORS, LLC (ABINGTON PA)

PA

07/31/1993 - 01/21/2009

CITIGROUP GLOBAL MARKETS INC. (WEST CONSHOHOCKEN PA)

NY

01/11/1993 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

09/13/1988 - 01/27/1993

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

NA

05/24/1988 - 06/09/1988

HIBBARD BROWN & CO., INC.

NA

04/20/1988 - 05/31/1988

SHERWOOD CAPITAL, INC.

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Licenses & Designations

BOTH

Issued 07/10/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/03/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/16/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James Bernard Simon. Review regulatory record here.
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