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Juan Rios

Citizens Securities, INC.
21 Years of Experience
Johnston, RI
2 DisclosuresBroker
View SEC Summary
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Juan Rios is a registered investment advisor at Citizens Securities, INC., based in Johnston, RI, with 21 years of industry experience. Juan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management. Their firm serves 53,044 clients with $9.2B in assets under management.

Citizens Securities, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
741 advisors
Number of Clients
53,044 clients
Average Client Portfolio
$173K average
Assets Under Management
$9.2B

Fee Structure

Minimum Investment:$2K
Investment management only (planning not offered)

Citizens Securities offers investment management through its Managed Account Program. The fees vary depending on the specific program selected.

The maximum annual rate for Citizens Securities' component of the fee is 2.00%. The total fee covers asset allocation recommendations, manager research, brokerage, custody, performance reports, and administrative services. Third-party manager fees typically range from 0.02% to 0.50%.

Fees are negotiable under some circumstances, such as the type and size of the client account and the range of services provided.

For Connect accounts, there is a minimum investment of $2,000.

View Full SEC Brochure

Location

1 Citizens Bank Way, Johnston, RI, 02919

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2019
Denied
Customer Dispute
March 2015
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Juan is an assistant property manager for a rental property, scheduling repairs. This requires minimal time.

Employment History
Current Registrations
Citizens Securities, INC.
January 2020 - Present · 6 yrs 4 mos
Citizens Securities, INC.Broker
January 2020 - Present · 6 yrs 4 mos
Previous Registrations
Ameriprise Financial Services, INC.
November 2018 - July 2019 · 8 mos
Ameriprise Financial Services, INC.Broker
November 2018 - July 2019 · 8 mos
Oppenheimer & CO. INC.
August 2018 - August 2018 · 0 mos
Oppenheimer & CO. INC.Broker
August 2018 - August 2018 · 0 mos
J.P. Morgan Securities LLCBroker
October 2012 - August 2018 · 5 yrs 10 mos
J.P. Morgan Securities LLC
October 2012 - August 2018 · 5 yrs 10 mos
Chase Investment Services CORP.
September 2011 - October 2012 · 1 yr 1 mo
Chase Investment Services CORP.Broker
April 2011 - October 2012 · 1 yr 6 mos
Ameriprise Financial Services, INC.
March 2003 - August 2010 · 7 yrs 5 mos
Ameriprise Financial Services, INC.Broker
January 2003 - August 2010 · 7 yrs 7 mos
Ids Life Insurance CompanyBroker
January 2003 - July 2006 · 3 yrs 6 mos
State Registrations3 states
FLMANY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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