| Orville John Igharas | Colton Groome Financial Advisors, LLC independent RIA | First Citizens Investor Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Nov 19, 2018 | Jul 1, 2020 (590 d) |
| Joshua Clinton Spencer | Edward Jones national BD | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2018 | Aug 20, 2018 |
| Heath Elliott Pierce | Truist Advisory Services, Inc. BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2018 | Feb 26, 2019 (236 d) |
| Kevin Christopher Renz | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 26, 2018 | Jun 27, 2018 |
| Veronica Marie Lommel | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 18, 2018 | Jul 9, 2018 |
| Ricky Paul Sloan | Pnc Wealth Management BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 18, 2018 | Jun 27, 2018 (40 d) |
| Gary R Clementson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Apr 10, 2018 | Apr 28, 2018 |
| Scott Kirk Shriver | Morgan Stanley wirehouse | First Citizens Investor Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 19, 2018 | Mar 28, 2018 |
| Traci Jean Diblasio | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Mar 13, 2018 | Mar 12, 2018 |
| Prescott Lewis Padgett | Scottrade Investment Management BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Apr 10, 2018 (32 d) |
| Michael S Gross | Scottrade Investment Management BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2018 | Jun 27, 2018 (111 d) |
| Jacqueline Williams | Strategic Advisers LLC national BD | First Citizens Investor Services, Inc. other | Other | Feb 23, 2018 | Feb 21, 2018 |
| Robert Edward Dykes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 2, 2018 | Apr 16, 2018 (73 d) |
| Erin Hester | Td Ameritrade Investment Management, LLC independent RIA | First Citizens Investor Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jan 18, 2018 | Oct 28, 2019 (648 d) |
| Brett Adam Blankenship | First Citizens Asset Management, Inc other | First Citizens Investor Services, Inc. other | Other | Dec 31, 2017 | May 12, 2017 |
| Cynthia Jones Williams | First Citizens Asset Management, Inc other | First Citizens Investor Services, Inc. other | Other | Dec 31, 2017 | May 15, 2017 |
| Albert M Stephens | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Dec 13, 2017 | Dec 19, 2017 |
| Kelly F Sullivan | Cuso Financial Services, L.P. BD affiliated | First Citizens Investor Services, Inc. other | Other | Dec 8, 2017 | Jan 24, 2018 (47 d) |
| Mitchell W Gatewood | Truist Advisory Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Nov 20, 2017 | Nov 17, 2017 |
| Ross Jon Whiteley | Allspring Funds Management, LLC other | First Citizens Investor Services, Inc. BD affiliated | Other | Oct 12, 2017 | Aug 2, 2018 (294 d) |
| Kim Weber | Pnc Wealth Management other | First Citizens Investor Services, Inc. other | Other | Sep 29, 2017 | Mar 1, 2018 (153 d) |
| Angela Ruth Johnson-Moore | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Sep 20, 2017 | Sep 25, 2017 |
| Kevin Thomas Brock | MML Investors Services, LLC other | First Citizens Investor Services, Inc. other | Other | Sep 5, 2017 | Sep 6, 2017 |
| Casey Pond | Fifth Third Securities, Inc. other | First Citizens Investor Services, Inc. other | Other | Aug 14, 2017 | Aug 24, 2017 |
| Alan W Gray | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Jul 31, 2017 | Aug 25, 2017 |
| James Perkins Earle | Pruco Securities, LLC other | First Citizens Investor Services, Inc. other | Other | Jul 19, 2017 | Jul 18, 2017 |
| Timothy D Hinton | Pnc Wealth Management other | First Citizens Investor Services, Inc. other | Other | May 19, 2017 | May 18, 2017 |
| David Lance Owen | Pnc Wealth Management other | First Citizens Investor Services, Inc. other | Other | Apr 28, 2017 | May 31, 2017 (33 d) |
| Erin Brenan Mccaskill | First Citizens Asset Management, Inc other | First Citizens Investor Services, Inc. other | Other | Apr 24, 2017 | Apr 24, 2017 |
| Eugene Joseph Colligan | Klaren Capital state registered | First Citizens Investor Services, Inc. other | Other | Mar 27, 2017 | Mar 28, 2017 |
| Kevin A Harper | Principal Securities, Inc. other | First Citizens Investor Services, Inc. BD affiliated | Other | Feb 27, 2017 | Oct 7, 2021 (1683 d) |
| Shawn K. Gaffin | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Jan 26, 2017 | Jan 30, 2017 |
| Rosalind Moulas Taylor | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 20, 2016 | Feb 24, 2021 (1527 d) |
| Timothy Penn Nugent | Truist Advisory Services, Inc. no RAUM | First Citizens Investor Services, Inc. other | Other | Oct 4, 2016 | Jun 5, 2017 (244 d) |
| Anita Jo Lynch | Raymond James & Associates, Inc. national BD | First Citizens Investor Services, Inc. other | Other | Sep 21, 2016 | Dec 5, 2017 (440 d) |
| Michael Alan Boedeker | Suntrust Investment Services, Inc. other | First Citizens Investor Services, Inc. other | Other | Sep 9, 2016 | Oct 6, 2016 |
| Christopher H Bettis | LPL Financial LLC other | First Citizens Investor Services, Inc. other | Other | Sep 7, 2016 | Sep 14, 2016 |
| John William Swindell | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Jul 7, 2016 | Jul 13, 2016 |
| Demaris Kirstin Arceneaux | Edward Jones national BD | First Citizens Investor Services, Inc. other | Other | Jun 1, 2016 | Nov 9, 2016 (161 d) |
| Martin Kent Walker | Cambridge Investment Research Advisors, Inc. other | First Citizens Investor Services, Inc. other | Other | Apr 25, 2016 | Apr 4, 2016 |
| Daniel Gregory Smith | First Citizens Asset Management, Inc other | First Citizens Investor Services, Inc. other | Other | Apr 15, 2016 | Apr 4, 2016 |
| Kevin Michael Furr | Capital Investment Advisory Services, LLC other | First Citizens Investor Services, Inc. other | Other | Mar 23, 2016 | Mar 30, 2016 |
| Sumner M Parham | Capital Investment Advisory Services, LLC other | First Citizens Investor Services, Inc. other | Other | Mar 11, 2016 | Apr 12, 2016 (32 d) |
| Aaron Benjamin Justice | First Citizens Asset Management, Inc other | First Citizens Investor Services, Inc. other | Other | Mar 2, 2016 | Feb 12, 2016 |
| Holli Michelle Milliken | First Citizens Asset Management, Inc other | First Citizens Investor Services, Inc. other | Other | Feb 3, 2016 | Feb 3, 2016 |
| John Christopher Liddicoat | Nfp Advisor Services, LLC other | First Citizens Investor Services, Inc. other | Other | Dec 31, 2015 | Jun 22, 2017 (539 d) |
| Jackey Joseph Webb | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Nov 4, 2015 | Nov 2, 2015 |
| Brian Smith | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Aug 10, 2015 | Aug 24, 2015 |
| Jessica Pierce Pasquale | Northwestern Mutual Investment Services,LLC other | First Citizens Investor Services, Inc. other | Other | Jul 24, 2015 | Aug 6, 2015 |
| Brent Ciliano | Congress Capital Partners, Llp other | First Citizens Investor Services, Inc. other | Other | Jun 30, 2015 | Jun 15, 2015 |
| Brian Christopher Migdal | Pnc Wealth Management other | First Citizens Investor Services, Inc. other | Other | May 20, 2015 | Jun 2, 2015 |
| Charice Estelle Biggins | Edward Jones national BD | First Citizens Investor Services, Inc. other | Other | Mar 19, 2015 | Mar 17, 2015 |
| Casey Pond | Wells Fargo Advisors wirehouse | First Citizens Investor Services, Inc. other | Other | Feb 20, 2015 | Feb 18, 2015 |
| Jake Alexander Mclean | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. other | Other | Jan 28, 2015 | Feb 2, 2015 |
| Robert Howard | Pnc Wealth Management other | First Citizens Investor Services, Inc. other | Other | Jan 15, 2015 | Jan 14, 2015 |
| George T Ferrel | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | First Citizens Investor Services, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 9, 2014 | May 15, 2025 (3810 d) |
| Sara Magdalene Reals | Verity Asset Management other | First Citizens Investor Services, Inc. other | Other | Nov 4, 2014 | Oct 20, 2014 |
| Henry Osbourne Dunbar | Bb&T Institutional Investment Advisers, Inc. other | First Citizens Investor Services, Inc. other | Other | Oct 6, 2014 | Oct 7, 2014 |
| Melissa Godwin Scott | Osaic Fs, Inc. other | First Citizens Investor Services, Inc. other | Other | Jul 15, 2014 | Jul 23, 2014 |
| William Michael Brinkley | Fifth Third Securities, Inc. other | First Citizens Investor Services, Inc. other | Other | Jul 7, 2014 | Jul 17, 2014 |