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8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-13 |
| NC | RA | APPROVED | 2013-12-19 |
Branch Locations
100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603 • United States
8540 Colonnade Center Drive, Raleigh, NC 27615 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Citizens Investor Services | Raleigh | NC | 01/2005 | 10/2018 |
| First Citizens Investor Services | Raleigh | NC | 10/2018 | 07/2020 |
| First Citizens Investor Servic | Raleigh | NC | 07/2020 | Present |
NCFC (NC Football Club), 5017 Memory Rd., Raleigh, NC 27609. Volunteer soccer coach for youth sports. Began 8/1/19, 30 hrs/month, zero during trading hours. No compensation. Not investment related. Not a client of the firm. WCBA (Wake County Basketball Association), 836 Six Forks Rd. Ste 101. Raleigh, NC 27615. Nature of business is coaching youth sports. Position is Coach and duties are to coach basketball to youth athletes. Began 8/1/2019. 15 hours/month. 0 hours/month during trading hours. Not investment related. Not a client of the firm. No compensation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-12-19 |
| S63 | Uniform Securities Agent State Law Examination | 2008-05-05 |
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