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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 2017-06-05
  • NC RA
    APPROVED
    Since 2017-06-05

Branch Locations

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

128 S Tryon Street, Charlotte, NC 28202 • 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
Pnc Investments Raleigh NC 03/2012 05/2017
First Citizens Investor Services Raleigh NC 05/2017 Present
First Citizens Bank Raleigh NC 02/2022 Present
  • 03/2012 → 05/2017
    Pnc Investments
    Raleigh, NC
  • 05/2017 → Present
    First Citizens Investor Services
    Raleigh, NC
  • 02/2022 → Present
    First Citizens Bank
    Raleigh, NC
Other Businesses

1) Emily Krzyzewski Center, 904 W. Chapel Hill Street, Durham, NC 27701, USA; Not for Profit, start January 2015, Not investment related. The Emily Krzyzewski Center, a nonprofit organization in Durham, North Carolina, implements four distinct programs designed to build on the academic, career, and leadership potential of students who are traditionally underrepresented in higher education. Collectively, our programs serve students from elementary school through college and equip them with the skills necessary to successfully complete higher education, connect to promising careers, and become agents of change within their communities. We amplify our efforts through partnerships with our local school district, community-based organizations, and universities. Finance Committee Advisor/Member; 2 hours per month, 2 during trading hours; No products or services are offered as a part of my committee participation. I provide guidance on policies and procedures that would help the Center maintain effective governance over finances and participate in the development of the non-profit organization's strategic plan. 2) Writing and Speaking Engagements; investment related; not be on behalf of First Citizens Investor Services or include financial recommendations for specific products; Activities would include financial topics and considerations for savers, borrowers, and investors; Start date and location TBD; Owner as a Writer/Speaker; 4 hour monthly/4 during trading hours; Financial education seminars to promote financial wellness in the community and to publish articles in financial journals in exchange for compensation in my personal name. 3)ECU FOUNDATION BOARD POSITION: Officer/Director NATURE: Board Position (including at a Non-profit) INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2024 ADDRESS: 2200 S. Charles Blvd, Greenville Centre, East Carolina University, Greenviile NC 27858, United States DESCRIPTION: The ECU Foundation supports the university's mission of public service and regional transformation. They are responsible stewards of all gifts and they are committed to the highest levels of accountability and transparency in all they do. The ECU Foundation is a 501(c)(3) public charitable organization.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-07-20
  • S63 Uniform Securities Agent State Law Examination
    2012-07-20
Designations

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