Ernest L Kiefer

Current Employers

First Citizens Investor Services, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-03-13
IL	RA	APPROVED	2022-12-05
NC	RA	APPROVED	2012-12-19

TX RA
APPROVED_RES

Since 2023-03-13
IL RA
APPROVED

Since 2022-12-05
NC RA
APPROVED

Since 2012-12-19

Branch Locations

128 S Tryon Street, Charlotte, NC 28202 • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
First Citizens Investor Services	Raleigh	NC	11/2013	Present

11/2013 → Present

First Citizens Investor Services

Raleigh, NC

Previous Registrations

2011-10-13 → 2012-12-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC
2010-02-22 → 2011-08-19

Morgan Stanley

New York, NY

Charlotte, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-06-02

S66 Uniform Combined State Law Examination

2008-06-02

Designations

Other Names

Lloyd Kiefer
Ernest Lloyd Kiefer

View on SEC IAPD

Current Employers

First Citizens Investor Services, Inc.

Disclosures

Employment History

Previous Registrations

Exams

Designations

Other Names

Other Firms

Other Investors

Other Offices

Reviews