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8540 Colonnade Center Drive, Raleigh, NC 27615 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-05-24 |
Branch Locations
8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-11-16 |
| NC | RA | APPROVED | 2020-11-04 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Global Alternative Investment Services, Inc | Charlotte | NC | 01/2016 | 05/2018 |
| Questar Capital Corporation | Minneapolis | MN | 10/2018 | 03/2019 |
| Unemployed | Charlotte | NC | 06/2018 | 09/2018 |
| Questar Asset Management | Minneapolis | MN | 11/2018 | 03/2019 |
| Woodbury Financial Services, Inc. | Charlotte | NC | 03/2019 | 04/2020 |
| Lpl Financial Llc | Fort Mill | SC | 05/2020 | 08/2020 |
| Michael Ryan Realty | Waxhaw | NC | 08/2020 | 10/2020 |
| First Citizens Investor Services | Raleigh | NC | 10/2020 | Present |
| First Citizens Asset Management | Raleigh | NC | 05/2023 | Present |
1) Provident Home Services LLC, 2716 Travelers Ct Charlotte, NC 28226. Handyman and home renovation services, owner began 9/11/20. 10 hours/month, 0 during trading hours, non-investment related. This is a business where I do small projects and residential renovations. I am the owner and sole employee. Hourly compensation, business is not a client of the firm. 2) First Citizens Asset Management; Nature of business is a Registered Investment Advisor; 4300 Six Forks Rd, Raleigh NC, 27609; Began 05/12/2023; New Business Development Officer; 16 hours/month during trading hours. Investment Related; Duties are supervision of regional managers; Compensation is part of salary paid by FCIS. No direct compensation received from FCAM. Business is not a client of the Firm.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-11-28 |
| S65 | Uniform Investment Adviser Law Examination | 2013-03-26 |
| S63 | Uniform Securities Agent State Law Examination | 2006-01-28 |
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