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Current Employers
First Citizens Investor Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2017-07-31
  • NC RA
    APPROVED
    Since 2017-07-31

Branch Locations

425 E. Main Street, Lincolnton, NC 28092 • United States

219 Hwy 16 South, Denver, NC 28037 • 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
First Citizens Investor Services Raleigh NC 06/2016 Present
  • 06/2016 → Present
    First Citizens Investor Services
    Raleigh, NC
Other Businesses

1) KAY FARMILY AND FRIENDS. 520 BLOSSOM HILL RD., LINCOLNTON, NC 28092. NON-INVESTMENT RELATED. OWNDER OF THE BUSINESS; BLUEGRASS GOSPEL GROUP. FREE WILL OFFERINGS AND SALES FROM CD'S RECORDED. DUTIES ARE SINGER IN THE BAND, RECORD KEEPING. START DATE 4/17/15. 24 HOURS/MONTH, 0 DURING TRADING HOURS. 2) CHARLES E & FRANCES K PUMPHREY POSITION: Owner/Co-Owner NATURE: Selling a home I own to my daughter and son-in-law, through owner financing for a 30 year term. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 9 START DATE: 07/31/2024 ADDRESS: 512 Blossom Hill Rd, Lincolnton NC 28092, United States DESCRIPTION: We're selling a home we own at 512 Blossom Hill Rd Lincolnton, NC 28092 to our daughter, Julie A Tucker, and son-in-law, Joshua Tucker. We will be financing the home for them, as owner financing, over a 30 year term. 3) CHARLES E & FRANCES K PUMPHREY POSITION: Owner/Co-Owner NATURE: Sell of home with owner financing. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2024 ADDRESS: 520 Blossom Hill Rd, Lincolnton NC 28092, United States DESCRIPTION: We're selling our daughter, Jessica Smyre, and her fiance, Brandon Lucas, a home we own at 520 Blossom Hill Rd Lincolnton, NC 28092. The transaction will be done with us holding a promissory note on the property with a 30-year term.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-28
S63 Uniform Securities Agent State Law Examination 2007-11-06
  • S66 Uniform Combined State Law Examination
    2017-07-28
  • S63 Uniform Securities Agent State Law Examination
    2007-11-06
Other Names
  • Kay Pumphrey
  • Frances Kay Posey

View on SEC IAPD

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