Full text of FIRST CITIZENS INVESTOR SERVICES, INC.'s X-17A-5 filed 2024-03-15 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # *(A WHOLLY OWNED SUBSIDIARY OF FIRST-CITIZENS BANI(* & *TRUST COMPANY)* *Financial Statements and Supplemental Schedules December 31, 2023* (With Report of Independent Registered Public Accounting Firm) {1}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | SEC FILE NUMBER | | |--|-----------------|--| | | 8-50696 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | A. REGISTRANT IDENTIFICATION | | | | | | | | |---------------------------------|----------------------|------------------|---------------------------|--|--|--|--| | | MM/DD/VY | | MM/DD/VY | | | | | | FILING FOR THE PERIOD BEGINNING | __<br>0_1_/_0_1_/2_3 | __<br>AND ENDING | _<br>__<br>1_2_/_3_1_/2_3 | | | | | | | | | | | | | | NAME oF FIRM: First Citizens Investor Services, Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer □ 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 | | | | | | | | | | |---------------------|--|--|--|--|--|--|--|--|--| |---------------------|--|--|--|--|--|--|--|--|--| | 27609<br>(Zip Code)<br>steve.bogaczyk@firstcitizens.com<br>(Email Address) | |----------------------------------------------------------------------------| | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | NC<br>27612 | | (State)<br>(Zip Code) | | | | [PCAOB Reg;rtraUoo N,mbe,, 0 appUcable) | | | | | \* 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** | I, David Biliter | swear (or affirm) that, to the best of my knowledge and…Read the full text as markdown