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David Stanley Walters

First Citizens Investor Services, Inc.

Wilmington, NC

Raleigh, 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 2021-11-19
  • NC RA
    APPROVED
    Since 2021-11-19

Branch Locations

440 South College Road, Wilmington, NC 28403 • United States

8540 Colonnade Center Drive, Raleigh, NC 27615 • 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
Wells Fargo Advisors, Llc. Wilmington NC 04/2013 11/2016
Wellsfargo Wilmngton NC 04/2013 11/2021
Wells Fargo Clearing Services, Llc Wilmington NC 11/2016 11/2021
First Citizens Investor Services Raleigh NC 11/2021 Present
First Citizens Bank Wilmington NC 11/2021 Present
  • 04/2013 → 11/2016
    Wells Fargo Advisors, Llc.
    Wilmington, NC
  • 04/2013 → 11/2021
    Wellsfargo
    Wilmngton, NC
  • 11/2016 → 11/2021
    Wells Fargo Clearing Services, Llc
    Wilmington, NC
  • 11/2021 → Present
    First Citizens Investor Services
    Raleigh, NC
  • 11/2021 → Present
    First Citizens Bank
    Wilmington, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-11-06
S63 Uniform Securities Agent State Law Examination 1999-03-17
  • S65 Uniform Investment Adviser Law Examination
    2013-11-06
  • S63 Uniform Securities Agent State Law Examination
    1999-03-17

View on SEC IAPD

Other Firms

RAYMOND JAMES & ASSOCIATES, INC.
WELLS FARGO CLEARING SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
OSAIC INSTITUTIONS, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
MORGAN STANLEY

Other Investors

MATTHEW STEPHEN BENNETT
Gary R Bechtold
EDWARD MONTGOMERY KNOX
TIMOTHY CALHOUN GRAY
EMILY ROGERS HARVEY
CHARLES WARREN MINTZ
Savannah Castor King
JOHN DAVID THOMAS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILMINGTON, NC
OSAIC INSTITUTIONS, INC. · Wilmington, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC

More in Wilmington, NC

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