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8540 Colonnade Center Drive, Raleigh, NC 27615 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2016-12-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Citizens Bank | Raleigh | NC | 04/2007 | 08/2021 |
| First Citizens Investor Services | Raleigh | NC | 01/2010 | 08/2021 |
| First Citizens Asset Management | Columbia | SC | 12/2016 | 08/2021 |
| First Citizens Investor Services | Raleigh | NC | 08/2021 | Present |
| First Citizens Asset Management | Columbia | SC | 08/2021 | Present |
| First Citizens Bank | Charlotte | NC | 08/2021 | Present |
1) First Citizens Asset Management, 1230 Main St., Columbia, SC 29201. Institutional Consultant, start date 12/1/2016; 16 hours/month, investment-related, duties are Discussing and proposing investment management opportunities to municipal relationships. Comp. is part of salary paid by FCIS. No direct compensation received from FCAM. 2) Cabarrus County Hospice Advisory Board, non-investment-related, Hospice & Palliative Care of Cabarrus County 5003 Hospice Ln Kannapolis, NC 28081; caring for people who are living with a life-limiting illness as well as their families and caregivers; Advisory Board Member; October 1, 2021; less than 1 hour per month/none during market hours; review materials and presentations during board meetings.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2015-03-03 |
| S65 | Uniform Investment Adviser Law Examination | 2010-02-16 |
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