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Stephen R Och

Citizens Securities, Inc.

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About Stephen R Och

Stephen Och is a financial advisor who has been in the industry since 2007. Stephen is currently registered with Citizens Securities, Inc. and has prior experience with PNC INVESTMENTS and TD Ameritrade, Inc.. Stephen holds the Series 7 and Series 63 securities licenses, as well as the Series 65 investment advisor license. Stephen is registered in 14 states and is authorized to provide advisory services in these states. Stephen specializes in financial planning and portfolio management for individuals and other investment advisers.

Firm Information

Stephen Och 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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Stephen Och’s Registration & Firm History

PA

03/08/2016 - Present

Citizens Securities, Inc. (MONROEVILLE PA)

PA

11/03/2015 - 02/22/2016

TD AMERITRADE, INC. (PITTSBURGH PA)

PA

05/24/2011 - 10/08/2015

PNC INVESTMENTS (MCKEESPORT PA)

PA

10/12/2007 - 03/29/2011

PNC CAPITAL MARKETS LLC (PITTSBURGH PA)

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Licenses & Designations

IA

Issued 10/14/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/20/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/10/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen R Och.
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