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8540 Colonnade Center Drive, Raleigh, NC 27615 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2025-08-07 |
Branch Locations
8540 Colonnade Center Drive, Raleigh, NC 27615 • United States
53 State Street 28Th Floor, Boston, MA 02109 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2025-08-07 |
Branch Locations
53 State Street 28Th Floor, Boston, MA 02109 • United States
8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2023-08-16 |
Branch Locations
4300 Six Forks Road, Raleigh, NC 27609 • United States
Decatur, GA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ef Legacy Securities, Llc | Fairfax | VA | 04/2016 | 12/2016 |
| M. S. Howells & Co. | Scottsdale | AZ | 09/2018 | 01/2023 |
| N/A | Atlanta | GA | 12/2016 | 09/2018 |
| First Citizens Investor Services | Raleigh | NC | 07/2023 | Present |
| Byond Compliance Llc | Atlanta | GA | 01/2023 | 07/2023 |
| First Citizens Bank | Raleigh | NC | 04/2024 | Present |
| Silicone Valley Bank Wealth Llc | Boston | MA | 04/2025 | Present |
| First Citizens Asset Management | Raleigh | NC | 04/2025 | Present |
1) Sole Proprietor; Non-Investment related; 4268 Sherwood Oaks Drive, Decatur, GA 30034; Real Estate Rentals; Owner; 09/1981; 5 hours monthly/0 during trading hours; Rental Property Maintenance And Leasing. 2) Byond Compliance LLC, A Limited Liability Company for Regulatory Compliance Consulting, Not Investment Related,4268 Sherwood Oaks Drive, Decatur, Ga 30032. President/Owner. January 2023; 15 Hrs/Monthly; 0 During Trading Hours. Writing Training for Supervising Principals and CCOs, Answer Compliance Related Questions, Public Speaking at Compliance Conferences. 3) SILICONE VALLEY BANK WEALTH LLC POSITION: Officer/Director NATURE: I am the Interim CCO for SVBW. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 04/07/2025 ADDRESS: 53 State Street, 28th Floor, Boston, MA 02109, United States DESCRIPTION: Investment Adviser 4) FIRST CITIZENS ASSET MANAGEMENT POSITION: Officer/Director NATURE: Interim CCO of FCAM INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 04/07/2025 ADDRESS: 8540 Colonnade Center Drive, Raleigh, NC 27615, United States DESCRIPTION: Investment Adviser
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-22 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-03 |
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