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Current Employers
First Citizens Investor Services, Inc.

8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-08-24
  • NC RA
    APPROVED
    Since 2022-08-24

Branch Locations

11 West 42Nd Street, New York, NY 10036 • United States

100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Capital Investment Group, Inc. Raleigh NC 11/2007 08/2022
First Citizens Investor Services Raleigh NC 08/2022 Present
  • 11/2007 → 08/2022
    Capital Investment Group, Inc.
    Raleigh, NC
  • 08/2022 → Present
    First Citizens Investor Services
    Raleigh, NC
Previous Registrations
  • 2013-01-02 → 2022-08-19
    Raleigh, NC
    Raleigh, NC
  • 2008-01-17 → 2012-12-31
    Cic Advisers, Llc
    Raleigh, NC
  • 2007-06-06 → 2007-11-14
    A. G. Edwards & Sons, Inc.
    Raleigh, NC
Other Businesses

1. INTELLIGENT SECURITY CONCEPTS, LLC. ADMINISTRATION. 1329 TAVERNIER KNOLL LANE, RALEIGH, NC 27603. ACCOUNTING AND CLERICAL DUTIES FOR SECURITY AND FIRE INSTALLATION, SERVICE AND MONITORING COMPANY. NOT INVESTMENT RELATED. 10-20 HRS/WEEK, 0 DURING NORMAL TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-05
S63 Uniform Securities Agent State Law Examination 2005-10-06
  • S66 Uniform Combined State Law Examination
    2007-06-05
  • S63 Uniform Securities Agent State Law Examination
    2005-10-06
Other Names
  • Amy Banister Rabb

View on SEC IAPD

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