# CITIZENS INVESTMENT ADVISORS

CITIZENS INVESTMENT ADVISORS of JOHNSTON, RI is an SEC-registered investment adviser.

## Registration

- CRD: 112738
- Type: SEC-registered investment adviser
- SEC file number: 801-60253
- Location: ONE CITIZENS BANK WAY, JCB135, JOHNSTON, RI, 02919
- Phone: 1-800-942-8300
- Latest filing: 2025-03-07

## Business model

- Compensation: % of AUM
- Clients served: Other

## Officers, owners & control persons (15)

| Name | Role | Location |
| --- | --- | --- |
| David Howard Shore | CHIEF COMPLIANCE OFFICER | — |
| KOPP BRADFORD BURNETT | GROUP EXECUTIVE VICE PRESIDENT | — |
| FEIN KEVIN LINDSEY | CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| DISANTO SALVATORE CARMINE | PORTFOLIO MANAGER | — |
| HANNA JEFFREY KENNEY | PORTFOLIO MANAGER | — |
| RIDER DEBORAH JANET | CHIEF COMPLIANCE OFFICER; COMPLIANCE; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| GLADDING KENT WOOD | SENIOR VICE PRESIDENT | — |
| FORESTEIRE DEBORAH JANET | COMPLIANCE | — |
| SUCHY GREGORY JOHN | SENIOR VICE PRESIDENT | — |
| BUGG JASON CLEVELAND | INTERIM CHIEF COMPLIANCE OFFICER | — |
| LAPLANTE DANIEL | CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT | — |
| CAHILLANE EDWARD PATRICK | SENIOR VICE PRESIDENT / INTERIM CHIEF COMPLIANCE OFFICER | — |
| NOVAK DIANE PATRICIA | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| SHORE DAVID HOWARD | CHIEF COMPLIANCE OFFICER | — |
| HANS MICHAEL D | CHIEF INVESTMENT OFFICER, SENIOR VICE PRESIDENT | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2015-08-12 | regulatory | ON AUGUST 12, 2015, THE U.S. COMPTROLLER OF THE CURRENCY ("OCC") ISSUED A CONSENT ORDER AND A CONSENT ORDER FOR A CIVIL MONEY PENALTY ("OCC ORDERS") AGAINST CITIZENS BANK, NATIONAL ASSOCIATION ("CITIZENS BANK") RELATING TO DEPOSIT RECONCILIATION PRACTICES FROM JANUARY 2008 THROUGH NOVEMBER 2013. THE… | Final | $10.0M |
| 2015-08-12 | regulatory | ON AUGUST 12, 2015, THE U.S. CONSUMER FINANCIAL PROTECTION BUREAU ("CFPB") ISSUED A CONSENT ORDER ("CFPB ORDER") AGAINST CITIZENS FINANCIAL GROUP, INC.; CITIZENS BANK, N.A.; AND/OR CITIZENS BANK OF PENNSYLVANIA (COLLECTIVELY, THE "BANKS") RELATING TO DEPOSIT RECONCILIATION PRACTICES FROM JANUARY 200… | Final | $7.5M |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/112738/brochure
- Similar advisers: https://search.stillhousedata.com/firm/112738/similar
- Related entities: https://search.stillhousedata.com/firm/112738/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/112738

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.