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James Walter Finlay

Citizens Securities, Inc.

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About James Walter Finlay

James Finlay is a financial advisor with Citizens Securities, Inc. James has been in the financial industry since 2010, and has experience working for various firms, including PNC Investments, Waddell & Reed, Inc. and Citizens Securities, Inc. James holds Series 7, Series 63, Series 65, and Series 24 licenses.

Firm Information

James Finlay 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 Finlay’s Registration & Firm History

NY

03/23/2023 - Present

Citizens Securities, Inc. (SYRACUSE NY)

PA

05/29/2012 - 01/08/2016

PNC INVESTMENTS (PITTSBURGH PA)

PA

07/22/2010 - 04/19/2012

WADDELL & REED, INC. (MONROEVILLE PA)

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Licenses & Designations

IA

Issued 06/06/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/07/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/30/2019

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James Walter Finlay. Review regulatory record here.
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