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Nicholas Henry Banks

Citizens Securities, Inc.

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About Nicholas Henry Banks

Nicholas Banks is a financial advisor with Citizens Securities, Inc. Nicholas has been in the financial industry since March 27, 2001 and has experience with both individual and institutional clients. Nicholas has a strong background in financial planning, portfolio management and securities.

Firm Information

Nicholas Banks 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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Nicholas Banks’s Registration & Firm History

CT

10/04/2023 - Present

Citizens Securities, Inc. (STAMFORD CT)

CT

08/07/2018 - 09/23/2021

FIDELITY BROKERAGE SERVICES LLC (STAMFORD CT)

CT

05/13/2013 - 03/24/2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DARIEN CT)

CT

01/05/2010 - 10/02/2012

MML INVESTORS SERVICES, LLC (STAMFORD CT)

NY

07/20/2009 - 09/30/2009

MAXIM GROUP LLC (NEW YORK NY)

NY

05/02/2007 - 01/26/2009

JMP SECURITIES LLC (NEW YORK NY)

NY

09/09/2004 - 05/01/2007

LEERINK SWANN & COMPANY (NEW YORK NY)

NY

12/02/2003 - 09/08/2004

NATEXIS BLEICHROEDER INC. (NEW YORK NY)

NY

01/29/2002 - 11/06/2003

NEUBERGER BERMAN, LLC (NEW YORK NY)

NY

02/02/1999 - 12/07/2001

ABN AMRO SECURITIES LLC (NEW YORK NY)

CA

07/14/1997 - 10/22/1998

HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)

NY

05/05/1997 - 06/19/1997

OPPENHEIMER & CO., INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/30/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/21/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/02/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas Henry Banks.
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