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Current Employers
First Citizens Investor Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-03-08
  • SC RA
    APPROVED
    Since 2021-03-08

Branch Locations

1230 Main Street, Columbia, SC 29201 • United States

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

First Citizens Asset Management, Inc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-03-08
  • SC RA
    APPROVED
    Since 2021-03-08

Branch Locations

1230 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
Lincoln Financial Advisors Florence SC 09/2013 08/2017
First Citizens Investor Services Raleigh NC 08/2017 Present
First Citizens Bank Greenville NC 08/2017 Present
First Citizens Asset Management Greenville NC 09/2017 Present
  • 09/2013 → 08/2017
    Lincoln Financial Advisors
    Florence, SC
  • 08/2017 → Present
    First Citizens Investor Services
    Raleigh, NC
  • 08/2017 → Present
    First Citizens Bank
    Greenville, NC
  • 09/2017 → Present
    First Citizens Asset Management
    Greenville, NC
Other Businesses

1) First Citizens Asset Management, 1230 Main St. Columbia, SC 29201. Investment Advisor Rep, began 9/13/17. 16 hours/month during trading hours. Duties are Assist businesses with Investment needs through FCAM. Compensation is part of salary paid by FCIS. No direct compensation received from FCAM. 2) SODA CITY OUTLAWS SOFTBALL ORGANIZATION. POSITION: Owner/Co-Owner NATURE: Coaching, Refereeing or Volunteering INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2023 ADDRESS: Columbia SC 29229, United States DESCRIPTION: Travel Softball team created to foster softball skills/development for local girls of Richland and Kershaw County S.C. UPDATE BELOW: MY ROLE: I will serve as a LLC member of the organization and function as a coach and administrative manager. As the admin manager I will book tournaments for the team, order uniforms, and coordinate travel instructions on a weekly basis. As a coach I will have practice once a week after 6pm and all other coaching will be done on weekends.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-12
S63 Uniform Securities Agent State Law Examination 2011-02-26
  • S65 Uniform Investment Adviser Law Examination
    2017-09-12
  • S63 Uniform Securities Agent State Law Examination
    2011-02-26

View on SEC IAPD

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