Full text of FIRST CITIZENS INVESTOR SERVICES, INC.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # *(A WHOLLY OWNED SUBSIDIARY OF FIRST-CITIZENS BANK* & *TRUST COMPANY)* *Financial Statements and Supplemental Schedules December 31, 2021* (With Report of Independent Registered Public Accounting Firm) {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-50696 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **\_\_ 0\_1\_/\_0\_1\_/2\_1 \_\_** AND ENDING **\_\_\_ 1\_2\_/\_3\_1 \_/2\_1 \_\_** MM/DD/YY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME oF FIRM: First Citizens Investor Services, Inc. TYPE OF REGISTRANT (check all applicable boxes): . 0 Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 4300 Six Forks Road (No. and Street) Raleigh NC 27609 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Steven Bogaczyk (919) 716-7391 steve.bogaczyk@firstcitizens.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* KPMG LLP (Name - if individual, state last, first, and middle name) 4242 Six Forks Road, Suite 850 Raleigh NC 27609 (Address) (City) (State) (Zip Code) 10/20/2003 185 **rte of Reg;m-,oa w;th PCAOB)(if applkable) FOR OFFICIAL USE ONLY (PCAOB R,g;,trat;oa N,mbe,,** if **appUcable)** I \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** | | __________ __, 2~<br>is true and correct. I further swear (or affirm) that neither the company nor any<br>_1_2_/_3_1 | |-------|--------------------------------------…Read the full text as markdown