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Current Employers
First Citizens Investor Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-06-06
  • CA RA
    APPROVED
    Since 2023-06-06

Branch Locations

75 N. Fair Oaks Ave Suite 400, Pasadena, CA 91103 • United States

28641 Marguerite Parkway, Mission Viejo, CA 92692 • 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
Wells Fargo Bank, N.A. Newport Beach CA 04/2008 05/2023
Wells Fargo Advisors Llc Newport Beach CA 12/2010 11/2016
Wells Fargo Clearing Services, Llc Newport Beach CA 11/2016 05/2023
First Citizens Bank Mission Viejo CA 05/2023 Present
First Citizens Investor Services Raleigh NC 05/2023 Present
  • 04/2008 → 05/2023
    Wells Fargo Bank, N.A.
    Newport Beach, CA
  • 12/2010 → 11/2016
    Wells Fargo Advisors Llc
    Newport Beach, CA
  • 11/2016 → 05/2023
    Newport Beach, CA
  • 05/2023 → Present
    First Citizens Bank
    Mission Viejo, CA
  • 05/2023 → Present
    First Citizens Investor Services
    Raleigh, NC
Previous Registrations
  • 2010-12-22 → 2021-10-08
    Los Angeles, CA
    Laguna Niguel, CA
    Irvine, CA
    Newport Beach, CA
    Minneapolis, MN
    Irvine, CA
    El Segundo, CA
    Irvine, CA
    Minneapolis, MN
    Tarpon Springs, FL
  • 2008-08-01 → 2010-12-22
    Wells Fargo Investments, Llc
    Laguna Niguel, CA
    San Clemente, CA
    Newport Beach, CA
    San Clemente, CA
    Laguna Niguel, CA
  • 2006-10-13 → 2007-08-06
    Wells Fargo Investments, Llc
    Laguna Niguel, CA
    Laguna Niguel, CA
    Laguna Niguel, CA
Other Businesses

HIEX CANNERY ROW LLC POSITION: Partner NATURE: Personal/Family Business (DBA, Family Farm, LLC, LLP, Sole Proprietorship, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 443 Wave Street, Monterey CA 93940, United States DESCRIPTION: The business is a hotel, Holiday Inn Express, in Monterey, California. I have a 5 percent interest in the partnership.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-12
  • S66 Uniform Combined State Law Examination
    2006-10-12
Other Names
  • Priti J Mora

View on SEC IAPD

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