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Connie Scarboro Gardner

First Citizens Investor Services, Inc.

Raleigh, NC

CRD 2992077

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Employer firm

First Citizens Investor Services, Inc. CRD 44430

$2.63B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
First Citizens Investor Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2007-01-22
  • NC RA
    APPROVED
    Since 2007-01-22

Branch Locations

100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603 • 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 01/2007 08/2016
First Citizens Investor Services Raleigh NC 08/2016 Present
  • 01/2007 → 08/2016
    First Citizens Investor Services
    Raleigh, NC
  • 08/2016 → Present
    First Citizens Investor Services
    Raleigh, NC
Previous Registrations
  • 2007-07-05 → 2009-03-18
    Ironstone Securities, Inc.
    Raleigh, NC
  • 2006-10-20 → 2007-02-02
    Rbc Capital Markets, Llc
    Charlotte, NC
    Rocky Mount, NC
  • 2001-12-31 → 2006-10-20
    Jbs Liberty Securities, Inc.
    Rocky Mount, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-02-24
  • S66 Uniform Combined State Law Examination
    1998-02-24

View on SEC IAPD

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