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Thomas Joseph Polito

Citizens Securities, Inc.

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About Thomas Joseph Polito

Thomas Polito is a financial advisor with over 27 years of experience in the financial services industry. Thomas is currently registered with Citizens Securities, Inc., and has previously been registered with several other firms including Cetera Investment Services LLC, LPL Financial LLC, Capital One Investing, LLC, and HSBC Securities (USA) Inc. Thomas has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice. His expertise spans a broad range of financial products and services, including financial planning, portfolio management, and selection of other advisors. Thomas holds the Series 7, Series 63, and Series 65 licenses, and is a dedicated financial professional.

Firm Information

Thomas Polito 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 Polito’s Registration & Firm History

NY

08/19/2022 - Present

Citizens Securities, Inc. (WANTAGH NY)

NY

06/24/2021 - 08/17/2022

CETERA INVESTMENT SERVICES LLC (WAST NORTHPORT NY)

NY

04/23/2018 - 07/14/2021

LPL FINANCIAL LLC (WOODBURY NY)

NY

01/02/2015 - 05/07/2018

CAPITAL ONE INVESTING, LLC (MELVILLE NY)

NY

06/17/2013 - 01/02/2015

CAPITAL ONE INVESTMENT SERVICES LLC (BALDWIN NY)

NY

10/26/2012 - 06/17/2013

HSBC SECURITIES (USA) INC. (HUNTINGTON STATION NY)

NY

01/11/2010 - 10/30/2012

INVESTMENT PROFESSIONALS, INC. (HUNTINGTON NY)

NY

12/10/2008 - 07/14/2009

UVEST FINANCIAL SERVICES GROUP, INC. (RIVERHEAD NY)

NY

12/14/2005 - 12/04/2008

WAMU INVESTMENTS, INC. (BABYLON NY)

NY

10/24/2005 - 12/01/2005

CITICORP INVESTMENT SERVICES (EAST NORTHPORT NY)

MO

06/10/2002 - 10/27/2005

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

NY

05/30/2001 - 06/12/2002

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

MO

09/27/1996 - 06/01/2001

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

NY

12/21/1995 - 11/04/1997

TASIN & COMPANY, INC. (HAUPPAUGE NY)

NY

04/11/1995 - 12/20/1995

GILFORD SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/07/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/21/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/10/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas Joseph Polito. Review regulatory record here.
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