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Karl-Heinz M Leroy

First Citizens Investor Services, Inc.

Charlotte, NC

Bluffton, SC

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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 2024-03-19
  • SC RA
    APPROVED
    Since 2024-03-19

Branch Locations

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

1 Westbury Parkway , Bluffton, SC 29910 • 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 Bank Seneca SC 11/2014 01/2023
First Citizens Investor Services, Inc. Columbia SC 01/2016 01/2023
First Citizens Investor Services Raleigh NC 01/2023 Present
First Citizens Bank Clemson SC 01/2023 Present
  • 11/2014 → 01/2023
    First Citizens Bank
    Seneca, SC
  • 01/2016 → 01/2023
    First Citizens Investor Services, Inc.
    Columbia, SC
  • 01/2023 → Present
    First Citizens Investor Services
    Raleigh, NC
  • 01/2023 → Present
    First Citizens Bank
    Clemson, SC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-03-19
S63 Uniform Securities Agent State Law Examination 2013-05-21
  • S65 Uniform Investment Adviser Law Examination
    2024-03-19
  • S63 Uniform Securities Agent State Law Examination
    2013-05-21
Other Names
  • Karl-Heinz M Leroy
  • Matt Leroy

View on SEC IAPD

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