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Shalini Guglani

Citizens Securities, Inc.

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About Shalini Guglani

Shalini Guglani is a financial advisor currently affiliated with Citizens Securities, Inc. in WESTWOOD, MA. Shalini has been working in the securities industry since 2011. Shalini has passed the Series 63, Series 66, Series 7, Series 9, Series 10, and Series 26 exams and is registered in New York. Prior to joining Citizens Securities, Inc. Shalini worked for J.P. MORGAN SECURITIES LLC in Mineola, NY and HSBC SECURITIES (USA) INC. in FLUSHING, NY.

Firm Information

Shalini Guglani 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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Shalini Guglani’s Registration & Firm History

MA

06/04/2024 - Present

Citizens Securities, Inc. (WESTWOOD MA)

NY

05/17/2022 - 05/31/2024

J.P. MORGAN SECURITIES LLC (Mineola NY)

NY

04/04/2011 - 05/05/2022

HSBC SECURITIES (USA) INC. (FLUSHING NY)

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Licenses & Designations

BOTH

Issued 02/21/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/27/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/20/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/18/2013

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/23/2011

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/03/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shalini Guglani.
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