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Detailed Report
Thomas Jason Worsley
Thomas J Worsley
CRD#: 4480067
IA
Investment Adviser
B
Broker
CITIZENS SECURITIES, INC.CRD#: 39550 30 KENNEDY PLAZA, SUITE 101
RI001
PROVIDENCE, RI 02903
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2015 - 2019 (3 years)2 FIRMS2019 - 2021 (1 year)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2004 - 2015 (10 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)2002 - 2004 (2 years)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2019 - 2020 (1 year)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2003 - 2014 (11 years)
License(s)

State Registrations

B
California 12/20/2022
B
New Jersey 12/20/2022
IA
California 12/20/2022
IA
New Jersey 12/20/2022
B
Connecticut 11/10/2022
B
New York 12/20/2022
IA
Connecticut 11/10/2022
IA
New York 12/20/2022
B
Florida 11/10/2022
B
Rhode Island 11/10/2022
IA
Florida 11/14/2022
IA
Rhode Island 11/10/2022
B
Illinois 12/14/2022
B
Vermont 12/20/2022
IA
Illinois 12/14/2022
IA
Vermont 12/20/2022
B
Massachusetts 11/10/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CITIZENS SECURITIES, INC. (CRD#:39550)
30 KENNEDY PLAZA, SUITE 101 RI001, PROVIDENCE, RI 02903
1220 MAIN STREET MAILSTOP: RI-063, WEST WARWICK, RI 02893
Registered with this firm since 11/10/2022
B
CITIZENS SECURITIES, INC. (CRD#:39550)
30 KENNEDY PLAZA, SUITE 101 RI001, PROVIDENCE, RI 02903
1220 MAIN STREET MAILSTOP: RI-063, WEST WARWICK, RI 02893
Registered with this firm since 11/10/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/26/2021 - 07/07/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) Greenville, RI
B
 02/25/2021 - 07/07/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) Greenville, RI
IA
 11/13/2019 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) BOston, MA
B
 11/12/2019 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) BOston, MA
IA
 11/13/2019 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Boston, MA
IA
 12/18/2015 - 02/14/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, RI
B
 12/15/2015 - 02/14/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, RI
B
 08/10/2004 - 02/19/2015 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) EL SEGUNDO, CA
IA
 05/12/2003 - 12/31/2014 STRATEGIC ADVISERS, INC. (CRD#:104555) EL SEGUNDO, CA
B
 01/14/2002 - 08/10/2004 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.