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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JOSEPH MICHAEL FARAGASSO

Advisor at CITIZENS SECURITIES, INC.

PHOENIXVILLE, PA | CONSHOHOCKEN, PA | EXTON, PA | DOWNINGTOWN, PA

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Search this name across graphsid dfx:ria:4af95470-ec83-da0a-8a0d-fe46141dea0f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Apr 15, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CITIZENS SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 24, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Mar 24, 2004
First registration: Apr 15, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 4739407

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jun 4, 2025	n/a	yes	DOWNINGTOWN, PA\|PHOENIXVILLE, PA\|EXTON, PA\|CONSHOHOCKEN, PA	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 28, 2022	Jul 15, 2025	no	RADNOR, PA	Previous registration
W&S BROKERAGE SERVICES, INC.	Bd affiliated wealth	Oct 18, 2018	Jun 27, 2022	no	WAYNE, PA\|CINCINNATI, OH	Previous registration
WIENKEN ADVISORS, LTD.	Former SEC adviser	Feb 29, 2016	Dec 15, 2016	no	Mechanicsburg, PA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 30, 2010	Dec 12, 2016	no	EXTON, PA\|CHADDS FORD, PA\|Coatesville, PA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Apr 15, 2004	Jun 3, 2010	no	BALA CYNWYD, PA\|COATESVILLE, PA\|CHADDSFORD, PA\|BALA CYNWYD, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	CITIZENS SECURITIES, INC.	Jul 15, 2025	Jun 4, 2025	-41	Firm change after gap	Other
W&S BROKERAGE SERVICES, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jun 27, 2022	Jun 28, 2022	1	Firm change	Other
WIENKEN ADVISORS, LTD.	W&S BROKERAGE SERVICES, INC.	Dec 15, 2016	Oct 18, 2018	672	Firm change after gap	Other
MML INVESTORS SERVICES, LLC	WIENKEN ADVISORS, LTD.	Dec 12, 2016	Feb 29, 2016	-287	Firm change after gap	Other
EQUITABLE ADVISORS, LLC	MML INVESTORS SERVICES, LLC	Jun 3, 2010	Jun 30, 2010	27	Firm change	Other

Relationships

Registered with (6)

→ CITIZENS SECURITIES, INC.Registered adviserregistration: current employment
Jun 4, 2025 to presentfactForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 28, 2022 to Jul 15, 2025factForm ADV
→ W&S BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Oct 18, 2018 to Jun 27, 2022factForm ADV
→ WIENKEN ADVISORS, LTD.Registered adviserregistration: previous registration
Feb 29, 2016 to Dec 15, 2016factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 30, 2010 to Dec 12, 2016factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 15, 2004 to Jun 3, 2010factForm ADV

Dated events

Occurred
Jul 15, 2025
Advisor changed firm
Joseph Michael Faragasso left Northwestern Mutual Investment Services,Llc for Citizens Securities, Inc. (registered 2025-06-04)
Form ADVobserved 6 days ago
Occurred
Jun 27, 2022
Advisor changed firm
Joseph Michael Faragasso left W&S Brokerage Services, Inc. for Northwestern Mutual Investment Services,Llc (registered 2022-06-28)
Form ADVobserved 6 days ago