FIRST CITIZENS INVESTOR SERVICES, INC. of RALEIGH, NC is an SEC-registered investment adviser (CRD 44430). Regulatory assets under management: $2.6B.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
Showing 25 of 43 people.
| Name | Role | Location |
|---|---|---|
| David Lee Biliter | DIRECTOR, PRESIDENT | — |
| Charles Falconer Iii Mccallum | DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE | — |
| William James Walsh | DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | — |
| Mary Cece | SECRETARY | — |
| Michael Lee Longest | DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY | — |
| Michael Christopher Wilson | DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | — |
| Mark Stephen Marrone | CHIEF COMPLIANCE OFFICER | — |
| Thomas Bittenbender Harps | DIRECTOR, INTERIM CHIEF COMPLIANCE OFFICER | — |
| WILSON CHRISTOPHER | DIRECTOR; DIRECTOR, PRESIDENT; DIRECTOR, WEALTH MANAGEMENT EXECUTIVE | — |
| HARPS THOMAS BITTENBENDER | DIRECTOR, INTERIM CHIEF COMPLIANCE OFFICER | — |
| BOGACZYK STEVEN FRED | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, DIRECTOR; DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| HYLER JAMES BOYD | DIRECTOR | — |
| BLACK KENNETH ALEXANDER | DIRECTOR | — |
| HOLDING FRANK BROWN | DIRECTOR | — |
| CREEKMAN JAMES ERVIN | DIRECTOR | — |
| BRITTAIN ANNELISE | DIRECTOR; DIRECTOR OF COMPLIANCE; CHIEF COMPLIANCE OFFICER; CROP | — |
| YOCHEM CAROL BLADE | DIRECTOR | — |
| JONES HIRAM RAMSEY II | DIRECTOR, PRESIDENT; PRESIDENT | — |
| LOWMAN LAWRENCE MINETREE | DIRECTOR OF COMPLIANCE; CHIEF COMPLIANCE OFFICER; DIRECTOR OF COMPLIANCE; CHIEF COMPLIANCE OFFICER; CROP | — |
| WALKER CHRIS WILLIAM | DIRECTOR; PRESIDENT | — |
| WALSH TERRENCE JAMES | DIRECTOR; DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR | — |
| SMITH ALLEN DALE | CHAIRMAN, PRESIDENT & CEO | — |
| QUIGLEY JOHN FRANCIS | CHIEF OPERATING OFFICER,CROP, DIRECTOR OF COMPLIANCE; CHIEF OPERATING OFFICER,CROP, DIRECTOR OF COMPLIANCE, DIRECTOR; CHIEF OPERATING OFFICER,CROP, DIRECTOR OF COMPLIANCE, DIRECTOR, INTERIM SROP (+1 more) | — |
| WILLINGHAM EDWARD LEE IV | DIRECTOR | — |
| PRICE PATRICIA ANNE | CHIEF COMPLIANCE OFFICER; DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-12-09 | regulatory | VA 38.2-502.1 MISREPRESENTATION OF THE BENEFITS, ADVANTAGES, CONDITIONS OR TERMS OF AN INSURANCE POLICY. A) ALLEGATION THAT THE SURRENDER SCHEDULE FOLLOWING THE INITIAL 3 YEAR TERM WAS NOT FULLY DISCLOSED TO THREE CLIENTS B) AGENT SHRIVER DID NOT PERSONALLY MEET WITH FOUR CLIENTS TO VERIFY IDENTITIE… | Final | $1K |
| 2019-11-06 | regulatory | FAILURE TO TIMELY REPORT AN ADMINISTRATIVE ACTION IN VIOLATION OF LA.R.S. 22:1563A | Final | $250 |
| 2019-03-11 | regulatory | IN FEBRUARY 2018, THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") ANNOUNCED AN INDUSTRY-WIDE INITIATIVE TO IDENTIFY AND REMEDY CONFLICTS OF INTEREST THAT ARISE WHERE INVESTMENT ADVISERS FAILED TO MAKE REQUIRED DISCLOSURES RELATING TO THEIR SELECTION OF CERTAIN MUTUAL FUND SHARE CLASSES THAT PAID… | Final | — |