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Employer firm

First Citizens Investor Services, Inc. CRD 44430

$2.63B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
First Citizens Investor Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2018-11-21
  • SC RA
    APPROVED
    Since 2018-11-21

Branch Locations

1230 Main Street, Columbia, SC 29201 • United States

683 Bultman Drive, Sumter, SC 29150 • United States

201 N Washington St, Sumter, SC 29150 • 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
Unemployed Sumter SC 06/2013 05/2018
First Citizens Investor Services Raleigh NC 05/2018 03/2026
First Citizens Asset Management Columbia SC 03/2019 03/2026
First Citizens Investor Services Raleigh NC 03/2026 Present
  • 06/2013 → 05/2018
    Unemployed
    Sumter, SC
  • 05/2018 → 03/2026
    First Citizens Investor Services
    Raleigh, NC
  • 03/2019 → 03/2026
    First Citizens Asset Management
    Columbia, SC
  • 03/2026 → Present
    First Citizens Investor Services
    Raleigh, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-11-19
S63 Uniform Securities Agent State Law Examination 1996-04-04
  • S66 Uniform Combined State Law Examination
    2018-11-19
  • S63 Uniform Securities Agent State Law Examination
    1996-04-04
Other Names
  • Disney Hines

View on SEC IAPD

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