Roberta K Dawson

First Citizens Investor Services, Inc.

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Current Employers

First Citizens Investor Services, Inc.

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2017-10-23

NC RA
APPROVED

Since 2017-10-23

Branch Locations

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

11 West 42Nd Street, New York, NY 10036 • 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

Organization	City	State	From	To
First Citizens Investor Services	Raleigh	NC	01/2009	Present

01/2009 → Present

First Citizens Investor Services

Raleigh, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-10-19
S63	Uniform Securities Agent State Law Examination	2006-08-22

S66 Uniform Combined State Law Examination

2017-10-19
S63 Uniform Securities Agent State Law Examination

2006-08-22

Other Names

Roberta Key
Roberta Dawson

View on SEC IAPD

Other Firms

FIRST TRYON ADVISORS

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MAI CAPITAL MANAGEMENT, LLC

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MODERA WEALTH MANAGEMENT, LLC

TLG ADVISORS, INC.

CAPITALA PRIVATE ADVISORS, LLC

Other Investors

JOSHUA REESE BAILEY

PHILIP REESE BAILEY

MICHELE V STUTTS

BRANDON RICHARD PHILLIPS

LEILA TARATUS EVANS

Emily Ruth Johnson

Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC

MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC

MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC

LPL FINANCIAL LLC · CHARLOTTE, NC

ARKADIOS WEALTH ADVISORS · Charlotte, NC

MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC

TLG ADVISORS, INC. · Charlotte, NC

LPL FINANCIAL LLC · CHARLOTTE, NC

More in Charlotte, NC

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