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Lisa Dawn Booth

First Citizens Investor Services, Inc.

Hendersonville, NC

Stateville, NC

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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 2025-02-24
  • NC RA
    APPROVED
    Since 2025-02-24

Branch Locations

539 North Main St., Hendersonville, NC 28792 • United States

204 E Broad St, Stateville, NC 28687 • 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 & Trust Company Statesville NC 10/2020 Present
First Bank Winston-Salem NC 02/2020 10/2020
First Horizon Wilkesboro NC 08/2017 02/2020
Highlands Union Bank Boone NC 04/2001 08/2017
First Citizens Investor Services Raleigh NC 03/2022 Present
  • 10/2020 → Present
    First Citizens Bank & Trust Company
    Statesville, NC
  • 02/2020 → 10/2020
    First Bank
    Winston-Salem, NC
  • 08/2017 → 02/2020
    First Horizon
    Wilkesboro, NC
  • 04/2001 → 08/2017
    Highlands Union Bank
    Boone, NC
  • 03/2022 → Present
    First Citizens Investor Services
    Raleigh, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-02-24
S63 Uniform Securities Agent State Law Examination 2022-05-11
  • S65 Uniform Investment Adviser Law Examination
    2025-02-24
  • S63 Uniform Securities Agent State Law Examination
    2022-05-11
Other Names
  • Lisa Dawn Laws
  • Lisa Dawn Adams

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC INSTITUTIONS, INC.
LPL FINANCIAL LLC
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
VERITAS INVESTMENT ADVISORY GROUP LLC
PNC WEALTH MANAGEMENT LLC
EDWARD JONES
OSAIC WEALTH, INC.

Other Investors

C. J Hill
DONALD RAY HUNEYCUTT
Keith David Holloway
Laurel J Glass
Jordan Michael Hall
Robert A Macdonald
Jamie L Morton
FRANK Z TINSLEY

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HENDERSONVILLE, NC
OSAIC INSTITUTIONS, INC. · Henderson, NC
LPL FINANCIAL LLC · HENDERSONVILLE, NC
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · Hendersonville, NC
VERITAS INVESTMENT ADVISORY GROUP LLC · HENDERSONVILLE, NC
PNC WEALTH MANAGEMENT LLC · HENDERSONVILLE, NC
EDWARD JONES · HENDERSONVILLE, NC
OSAIC WEALTH, INC. · HENDERSONVILLE, NC

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