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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-10-12 |
Branch Locations
550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States
400 Ashdale Ct, Concord, NC 28027 • United States
868 Church St N, Concord, NC 28025 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Citizens Investor Services, Inc. | Raleigh | NC | 06/2005 | 05/2021 |
| First Citizens Asset Management | Raleigh | NC | 05/2021 | 10/2023 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 10/2023 | Present |
1) First Citizens Asset Management; Nature of business is a Registered Investment Advisor; 4300 Six Forks Rd, Raleigh NC, 27609; Began 05/13/2021; Financial Consultant; 16 hours/month during trading hours. Investment Related; Duties are to review materials, participate / ask questions as well as vote to approve / delete underlying products for use in our models; Compensation is part of salary paid by FCIS. No direct compensation received from FCAM. Business is not a client of the Firm. 2) Big Brothers Big Sisters Cabarrus Leadership Council; Not Investment Related; 04 Union St. S. Concord NC, 28075; Provide mentors for at risk children; Board Member, beginning 6/1/2022; 4 hours per month, 0 trading hours; Serves as a board member for the organization NORTH CAROLINA HIGH SCHOOL ATHLETICS ASSOCIATION; NOT INV RELATED; CONCORD, NC; REFEREE; START 11/01/2023; 4 HOURS PER MONTH; 0 HOURS DURING TRADING; REFEREE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-09-25 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-05 |
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