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Detailed Report
PHILIP MICHAEL CADDEN JR
PHILIP M CADDEN JR, PHILLIP M CADDEN
CRD#: 5858908
IA
Investment Adviser
B
Broker
CITIZENS SECURITIES, INC.CRD#: 39550 1 CITIZENS BANK WAY
JOHNSTON, RI 02919
Registration History
2010201220142016201820202022202420262 FIRMS2013 - Present (11 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2013 (1 year)BNYLIFE SECURITIES LLC (CRD# 5167)2010 - 2011 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2013 - 2013 (<1 year)
License(s)

State Registrations

B
Rhode Island 7/30/2013
IA
Rhode Island 7/30/2013

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)
1 CITIZENS BANK WAY, JOHNSTON, RI 02919
Registered with this firm since 7/30/2013
B
CITIZENS SECURITIES, INC. (CRD#:39550)
1 CITIZENS BANK WAY, JOHNSTON, RI 02919
Registered with this firm since 7/30/2013
Previous Registration(s)
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IA
 01/15/2013 - 07/17/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, RI
B
 05/07/2012 - 07/17/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LINCOLN, RI
B
 11/19/2010 - 11/02/2011 NYLIFE SECURITIES LLC (CRD#:5167) PROVIDENCE, RI
For additional information about investment advisers or broker-dealers, please visit
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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.