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Thomas E Beaty

Citizens Securities, Inc.

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About Thomas E Beaty

Thomas Beaty is a financial advisor with Citizens Securities, Inc. Thomas has been a financial advisor for over 20 years and has experience in helping a variety of clients with their financial needs. Thomas is also a Certified Financial Planner. Thomas has experience working with clients at firms like Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA INVESTMENT SERVICES, INC., and First Republic Securities Company, LLC. Thomas is currently registered with Citizens Securities, Inc. in California, Colorado, Connecticut, Florida, Illinois, New York, and Texas. Thomas has a Series 66, Series 7 and SIE license.

Firm Information

Thomas Beaty 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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Thomas Beaty’s Registration & Firm History

MA

02/07/2025 - Present

Citizens Securities, Inc. (WESTWOOD MA)

CA

09/29/2023 - 02/06/2024

J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)

CA

09/21/2010 - 09/29/2023

FIRST REPUBLIC SECURITIES COMPANY, LLC (SAN FRANCISCO CA)

CA

10/23/2009 - 09/16/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)

CA

06/05/2008 - 10/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)

CA

02/02/2004 - 04/07/2008

CITY NATIONAL SECURITIES, INC. (SAN FRANCISCO CA)

NY

12/12/2000 - 09/25/2003

SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)

IN

07/21/1998 - 10/17/2000

LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)

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Licenses & Designations

BOTH

Issued 08/22/1998

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/16/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Thomas E Beaty.
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