DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Departures from First Citizens Investor Services, Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Ross Jon Whiteley	First Citizens Investor Services, Inc. BD affiliated	J.P. Morgan Securities LLC wirehouse	Affiliated broker-dealer or bank to wirehouse	May 4, 2020	Nov 25, 2020 (205 d)
Michael S Gross	First Citizens Investor Services, Inc. BD affiliated	Td Ameritrade Investment Management, LLC independent RIA	Affiliated broker-dealer or bank to independent RIA	May 4, 2020	May 22, 2020
Joseph Parish Parker	First Citizens Investor Services, Inc. BD affiliated	Carolina Wealth Management, Inc. independent RIA	Affiliated broker-dealer or bank to independent RIA	Mar 25, 2020	Apr 15, 2020
John Jarrett Fitzgerald	First Citizens Investor Services, Inc. BD affiliated	Td Private Client Wealth LLC BD affiliated	Affiliated broker-dealer or bank to another	Feb 25, 2020	Mar 19, 2020
Jessica Pierce Pasquale	First Citizens Investor Services, Inc. BD affiliated	Cetera Investment Advisers LLC BD affiliated	Affiliated broker-dealer or bank to another	Feb 25, 2020	Jun 3, 2020 (99 d)
Rita Callen Bliven	First Citizens Investor Services, Inc. BD affiliated	Edward Jones national BD	Affiliated broker-dealer or bank to another	Feb 3, 2020	Feb 25, 2020
Charles Andrew Johnson	First Citizens Investor Services, Inc. BD affiliated	Pnc Capital Advisors LLC other	Other	Jan 17, 2020	Oct 27, 2020 (284 d)
Jacqueline Williams	First Citizens Investor Services, Inc. BD affiliated	First Citizens Asset Management, Inc independent RIA	Affiliated broker-dealer or bank to independent RIA	Nov 8, 2019	Jun 21, 2019
Kemp Battle Mebane	First Citizens Investor Services, Inc. BD affiliated	Capital Investment Advisory Services, LLC BD affiliated	Affiliated broker-dealer or bank to another	Oct 8, 2019	Oct 29, 2021 (752 d)
Brian Morgan Talbert	First Citizens Investor Services, Inc. BD affiliated	LPL Financial LLC BD affiliated	Affiliated broker-dealer or bank to another	Sep 27, 2019	Sep 30, 2019
Robert Banish	First Citizens Investor Services, Inc. BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Affiliated broker-dealer or bank to wirehouse	Sep 18, 2019	Sep 18, 2019
Frances Opfer Cronlund	First Citizens Investor Services, Inc. BD affiliated	Curi Capital independent RIA	Affiliated broker-dealer or bank to independent RIA	Aug 2, 2019	Sep 5, 2019 (34 d)
Michael Brown	First Citizens Investor Services, Inc. BD affiliated	Wells Fargo Advisors wirehouse	Affiliated broker-dealer or bank to wirehouse	May 7, 2019	May 6, 2019
Robert Howard	First Citizens Investor Services, Inc. BD affiliated	Wells Fargo Advisors wirehouse	Affiliated broker-dealer or bank to wirehouse	Apr 30, 2019	Apr 30, 2019
Jason Paul Christopher	First Citizens Investor Services, Inc. BD affiliated	Synovus Securities, Inc. BD affiliated	Affiliated broker-dealer or bank to another	Apr 22, 2019	Apr 30, 2019
Brian Christopher Migdal	First Citizens Investor Services, Inc. BD affiliated	Cetera Investment Advisers LLC BD affiliated	Affiliated broker-dealer or bank to another	Mar 6, 2019	Jul 30, 2019 (146 d)
Clinton Jonathan Allen	First Citizens Investor Services, Inc. BD affiliated	Ameriprise Financial Services, LLC national BD	Affiliated broker-dealer or bank to another	Feb 28, 2019	Feb 28, 2019
Melissa Godwin Scott	First Citizens Investor Services, Inc. BD affiliated	Osaic Institutions, Inc. BD affiliated	Affiliated broker-dealer or bank to another	Feb 5, 2019	Feb 4, 2019
Matthew Lawrence Dellasega	First Citizens Investor Services, Inc. BD affiliated	First Citizens Asset Management, Inc independent RIA	Affiliated broker-dealer or bank to independent RIA	Nov 13, 2018	Nov 13, 2018
Frank Joseph Subasic	First Citizens Investor Services, Inc. BD affiliated	Janney Montgomery Scott LLC BD affiliated	Affiliated broker-dealer or bank to another	Sep 6, 2018	Jan 26, 2026 (2699 d)
Kevin Michael Furr	First Citizens Investor Services, Inc. BD affiliated	Pnc Wealth Management BD affiliated	Affiliated broker-dealer or bank to another	Aug 3, 2018	Nov 28, 2018 (117 d)
Bryan James Edwards	First Citizens Investor Services, Inc. other	Raymond James Financial Services Advisors, Inc BD affiliated	Other	Mar 6, 2018	Aug 14, 2019 (526 d)
Sandra K Newberry	First Citizens Investor Services, Inc. other	Oppenheimer & Co. Inc. other	Other	Jan 19, 2018	Feb 1, 2018
Michael Alan Boedeker	First Citizens Investor Services, Inc. other	Truist Advisory Services, Inc. BD affiliated	Other	Jan 11, 2018	Apr 24, 2018 (103 d)
Eugene Joseph Colligan	First Citizens Investor Services, Inc. other	MML Investors Services, LLC other	Other	Dec 12, 2017	Feb 23, 2018 (73 d)
Sara Magdalene Reals	First Citizens Investor Services, Inc. other	Greenleaf Financial Network, LLC independent RIA	Other	Oct 10, 2017	Jun 29, 2026 (3184 d)
Christopher Ryan Manning	First Citizens Investor Services, Inc. other	Edward Jones national BD	Other	Jul 17, 2017	Jul 17, 2017
Holli Michelle Milliken	First Citizens Investor Services, Inc. other	First Citizens Asset Management, Inc other	Other	Jun 21, 2017	Nov 7, 2016
Casey Pond	First Citizens Investor Services, Inc. other	Fifth Third Securities, Inc. other	Other	Jun 12, 2017	Jun 15, 2017
Jeffrey Michael White	First Citizens Investor Services, Inc. other	Osaic Institutions, Inc. other	Other	May 30, 2017	Jun 30, 2017 (31 d)
Trent R. Storino	First Citizens Investor Services, Inc. other	Principal Securities, Inc. BD affiliated	Other	Mar 22, 2017	Apr 6, 2018 (380 d)
Marisa Beth Lindsey	First Citizens Investor Services, Inc. other	Bb&T Institutional Investment Advisers, Inc. other	Other	Mar 8, 2017	Apr 5, 2017
Jake Alexander Mclean	First Citizens Investor Services, Inc. other	Wells Fargo Advisors wirehouse	Other	Feb 17, 2017	Feb 15, 2017
Brian Smith	First Citizens Investor Services, Inc. other	Wells Fargo Advisors wirehouse	Other	Nov 23, 2016	Feb 27, 2020 (1191 d)
Brian Michael Mccormack	First Citizens Investor Services, Inc. other	Charles Schwab & Co., Inc. national BD	Other	Oct 17, 2016	Oct 28, 2016
Frederick Perry Turner	First Citizens Investor Services, Inc. other	Fifth Third Securities, Inc. other	Other	Aug 9, 2016	Oct 13, 2016 (65 d)
Heather Olinger Lawrence	First Citizens Investor Services, Inc. other	Resilience Wealth Advisors unclassified	Other	Jun 13, 2016	May 10, 2021 (1792 d)
Joseph Weston Norton	First Citizens Investor Services, Inc. other	Vanguard Advisers, Inc. other	Other	May 11, 2016	Jul 11, 2016 (61 d)
Shawn Startti	First Citizens Investor Services, Inc. other	Cambridge Investment Research Advisors, Inc. BD affiliated	Other	Apr 25, 2016	May 23, 2019 (1123 d)
Richard Kenneth Wiethorn	First Citizens Investor Services, Inc. other	Wells Fargo Advisors wirehouse	Other	Sep 10, 2015	Sep 10, 2015
Joseph Mahoney Dumser	First Citizens Investor Services, Inc. other	Bb&T Securities, LLC other	Other	May 4, 2015	May 1, 2015
Justin James Gartman	First Citizens Investor Services, Inc. other	Captrust other	Other	Apr 27, 2015	Jun 15, 2016 (415 d)
Rebecca Harris Avery	First Citizens Investor Services, Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 21, 2014	Oct 21, 2014
Rene Michelle Karsko	First Citizens Investor Services, Inc. other	Wells Fargo Advisors wirehouse	Other	Sep 22, 2014	Sep 23, 2014
Stephen Michael Fleming	First Citizens Investor Services, Inc. other	Cetera Investment Advisers LLC BD affiliated	Other	Sep 16, 2014	Mar 21, 2024 (3474 d)
Eric Scott Franklin	First Citizens Investor Services, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Sep 3, 2014	Sep 11, 2014
James Francis Austin	First Citizens Investor Services, Inc. other	Bb&T Securities, LLC other	Other	Aug 4, 2014	Aug 4, 2014
William Robert Wiggins	First Citizens Investor Services, Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 2, 2014	Jun 27, 2014
Kristen Hoffman Lehrer	First Citizens Investor Services, Inc. other	Captrust institutional	Other	Jun 18, 2014	Sep 8, 2026 (4465 d)
Karen Michelle Hamlin	First Citizens Investor Services, Inc. other	Fidelity Personal And Workplace Advisors BD affiliated	Other	May 28, 2014	Mar 21, 2022 (2854 d)
Scott Carmen Cannady	First Citizens Investor Services, Inc. other	Hayden Harper Wealth Advisory, LLC other	Other	May 20, 2014	May 20, 2014
Charice Estelle Biggins	First Citizens Investor Services, Inc. other	Edward Jones national BD	Other	Apr 1, 2014	Sep 22, 2014 (174 d)
Elizabeth D. Stancil	First Citizens Investor Services, Inc. other	Wells Fargo Advisors wirehouse	Other	Mar 19, 2014	Mar 31, 2014
William Darden Smith	First Citizens Investor Services, Inc. other	Td Private Client Wealth LLC other	Other	Nov 15, 2013	Jan 15, 2014 (61 d)
Stephen Thomas Snow	First Citizens Investor Services, Inc. other	Wells Fargo Advisors wirehouse	Other	Nov 11, 2013	Nov 8, 2013
John Patrick Ager	First Citizens Investor Services, Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Oct 11, 2013	Oct 18, 2013
Jonathan Frank Woodward	First Citizens Investor Services, Inc. other	Bancwest Investment Services, Inc. (Bwis) other	Other	Oct 8, 2013	Jul 23, 2015 (653 d)
Scott Ambrose Winslow	First Citizens Investor Services, Inc. other	Cetera Investment Advisers LLC BD affiliated	Other	Sep 9, 2013	Mar 21, 2024 (3846 d)
Mark Victor Nabell	First Citizens Investor Services, Inc. other	Ironstone Securities, Inc. unclassified	Other	Sep 5, 2013	Aug 13, 2004
Michael James Junior Bryant	First Citizens Investor Services, Inc. other	Suntrust Investment Services, Inc. other	Other	Aug 1, 2013	Aug 2, 2013

Page 3 of 4Previous Next

240 moves match.