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Current Employers
First Citizens Asset Management, Inc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-08-20
SC RA APPROVED 2026-07-16
  • NC RA
    APPROVED
    Since 2026-08-20
  • SC RA
    APPROVED
    Since 2026-07-16

Branch Locations

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

First Citizens Investor Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-07-20
SC RA APPROVED 2026-07-16
  • NC RA
    APPROVED
    Since 2026-07-20
  • SC RA
    APPROVED
    Since 2026-07-16

Branch Locations

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

1212 Main St, Columbia, SC 29201 • 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
Bmo Harris Bank Na Milwaukee WI 07/2011 06/2026
Bmo Harris Financial Advisors, Inc. Indianapolis IN 08/2012 06/2026
Lpl Financial Llc Chilton WI 03/2021 08/2021
Lpl Financial Llc Fort Mill SC 08/2021 06/2026
First Citizens Investor Services Raleigh NC 06/2026 Present
First Citizens Asset Management Raleigh NC 07/2026 Present
First Citizens Asset Management Charlotte NC 07/2026 Present
  • 07/2011 → 06/2026
    Bmo Harris Bank Na
    Milwaukee, WI
  • 08/2012 → 06/2026
    Bmo Harris Financial Advisors, Inc.
    Indianapolis, IN
  • 03/2021 → 08/2021
    Chilton, WI
  • 08/2021 → 06/2026
    Fort Mill, SC
  • 06/2026 → Present
    First Citizens Investor Services
    Raleigh, NC
  • 07/2026 → Present
    First Citizens Asset Management
    Raleigh, NC
  • 07/2026 → Present
    First Citizens Asset Management
    Charlotte, NC
Previous Registrations
  • 2021-03-24 → 2026-07-10
    Manitowoc, WI
    Green Bay, WI
    Chilton, WI
    Fond Du Lac, WI
    Oshkosh, WI
    Ripon, WI
    Green Bay, WI
    Oshkosh, WI
    Green Bay, WI
    Appleton, WI
    Shawano, WI
    Green Bay, WI
    Appleton, WI
    Weyauwega, WI
    Wausau, WI
    Neenah, WI
    Green Bay, WI
    Sheboygan, WI
    Appleton, WI
    Green Bay, WI
    Appleton, WI
    Depere, WI
    Fort Mill, SC
    West Palm Beach, FL
    Indianapolis, IN
    Kansas City, MO
    Bridgeport, NE
    Chadron, NE
    Alliance, NE
  • 2012-08-01 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Noblesville, IN
    Indianapolis, IN
    Greenwood, IN
    Appleton, WI
    Shawano, WI
    Fond Du Lac, WI
    Watertown, WI
    Neenah, WI
    Appleton, WI
    Mayville, WI
    Oshkosh, WI
    Manitowoc, WI
    Green Bay, WI
    Green Bay, WI
    Green Bay, WI
    Oshkosh, WI
    Green Bay, WI
    Sheboygan, WI
    Appleton, WI
    Clintonville, WI
    Weyauwega, WI
    Ripon, WI
    Green Bay, WI
    Green Bay, WI
    Appleton, WI
    Kokomo, IN
    Indianapolis, IN
    Brownsburg, IN
    Indianapolis, IN
    Carmel, IN
    Depere, WI
    New Holstein, WI
    Peshtigo, WI
    Hortonville, WI
    Lomira, WI
    Green Bay, WI
    Seymour, WI
    Weyauwega, WI
    Green Bay, WI
    Green Bay, WI
    Oshkosh, WI
    Black Creek, WI
    Appleton, WI
    Denmark, WI
    Chilton, WI
    Casco, WI
    Noblesville, IN
    Indianapolis, IN
    St Louis, MO
    Wautoma, WI
    Zionsville, IN
    Wausau, WI
    Indianapolis, IN
  • 2012-04-18 → 2012-08-01
    M&I Financial Advisors, Inc
    Indianapolis, IN
    Greenwood, IN
    Indianapolis, IN
    Noblesville, IN
    Indianapolis, IN
  • 2010-04-27 → 2012-04-18
    M&I Investment Management Corp.
    Milwaukee, WI
Other Businesses

FCAM-First Citizens Asset Management POSITION: Employee NATURE: FCAM is an affiliated IA Firm. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 07/06/2026 ADDRESS: 128 South Tryon Street, Suite 300, Charlotte NC 28202, United States DESCRIPTION: FCAM is an affiliated IA firm

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-29
S63 Uniform Securities Agent State Law Examination 1995-09-18
  • S66 Uniform Combined State Law Examination
    2008-09-29
  • S63 Uniform Securities Agent State Law Examination
    1995-09-18

View on SEC IAPD

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