Nicholas Henry Banks
Investment Adviser Representative at Citizens Securities, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Nicholas Henry Banks is an investment adviser representative in Greenwich, CT, currently registered with Citizens Private Wealth and Citizens Securities, Inc. They have worked in the securities industry since 2001 and have been registered with 4 firms, including Fidelity Personal and Workplace Advisors and Merrill Lynch, Pierce, Fenner & Smith Incorporated. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in 11 states.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Connecticut, Florida, Maine, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Vermont
- Broker:
12 states and territories
California, Connecticut, Florida, Maine, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Vermont
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2013 – Mar 2017Darien, CT
- BANK OF America, N.A.Jul 2013 – Mar 2017Darien, CT
- UnemployedMar 2017 – Jul 2018Darien, CT
- Fidelity Brokerage Services LLCJul 2018 – Sep 2021Stamford, CT
- Citizens Securities, Inc.May 2022 – no end date reportedStamford, CT
- Citizens Private WealthMay 2022 – no end date reportedStamford, CT
- UnemployedSep 2021 – May 2022Stamford, CT
- Citizens BankMay 2022 – no end date reportedStamford, CT
Official records & sources
Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Citizens Securities, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Firm account minimum
- $2,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 772
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Johnston, RI
- SEC file number:
- 801-61902
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 3, 2026
View full firm profileOther advisors at Citizens Securities, Inc.
Showing 12 of 772 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicholas Henry Banks has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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