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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

STACY H BORTLE

Advisor at CITIZENS SECURITIES, INC.

WESTWOOD, MA | Charlotte, NC

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 19, 2013 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CITIZENS SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 22, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 22, 2010
First registration: Jun 19, 2013
Dual registered: yes, broker-dealer
Other names: STACY Denise HAWKINS|STACY D HAWKINS
IAPD individual key: 5731633

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Aug 3, 2026	n/a	yes	WESTWOOD, MA\|Charlotte, NC	Current employment
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	May 24, 2022	May 13, 2026	no	Raleigh, NC\|New Albany , OH\|Decatur, GA\|HUNTERVILLE, NC\|CHARLOTTE, NC\|Raleigh, NC\|Vilonia, AR\|Huntersville, NC\|Raleigh, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 17, 2018	Feb 26, 2021	no	JACKSON, MS	Previous registration
ALLIANCEBERNSTEIN L.P.	Other adviser	Jul 7, 2014	Mar 14, 2018	no	SAN ANTONIO, TX	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 19, 2013	Apr 29, 2014	no	Ridgeland, MS\|SAN ANTONIO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIRST CITIZENS INVESTOR SERVICES, INC.	CITIZENS SECURITIES, INC.	May 13, 2026	Aug 3, 2026	82	Firm change	Ibd to ibd
LPL FINANCIAL LLC	FIRST CITIZENS INVESTOR SERVICES, INC.	Feb 26, 2021	May 24, 2022	452	Firm change after gap	Ibd to ibd
ALLIANCEBERNSTEIN L.P.	LPL FINANCIAL LLC	Mar 14, 2018	Aug 17, 2018	156	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	ALLIANCEBERNSTEIN L.P.	Apr 29, 2014	Jul 7, 2014	69	Firm change	Other

Relationships

Registered with (5)

→ CITIZENS SECURITIES, INC.Registered adviserregistration: current employment
Aug 3, 2026 to presentfactForm ADV
→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
May 24, 2022 to May 13, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 17, 2018 to Feb 26, 2021factForm ADV
→ ALLIANCEBERNSTEIN L.P.Registered adviserregistration: previous registration
Jul 7, 2014 to Mar 14, 2018factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 19, 2013 to Apr 29, 2014factForm ADV

Dated events

Occurred
May 13, 2026
Advisor changed firm
Stacy H Bortle left First Citizens Investor Services, Inc. for Citizens Securities, Inc. (registered 2026-08-03)
Form ADVobserved 6 days ago