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FIRST CITIZENS INVESTOR SERVICES, INC.

RALEIGH, NC · CRD 44430 · IAPD ↗ · firstcitizens.com · 800-229-0205

$2.63BRegulatory AUM
164Advisory reps
352Employees
0Clients
More than 500Planning clients
0Private funds
51States
6Disclosures
wealthSegment
ApprovedSEC status

Filing changes

65
April 2026 — FIRST CITIZENS INVESTOR SERVICES, INC. reported RAUM up 25% ($2.10B -> $2.63B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2026 — FIRST CITIZENS INVESTOR SERVICES, INC. grew from 148 to 164 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
April 2025 — FIRST CITIZENS INVESTOR SERVICES, INC. added office(s): 107 -> 113 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2025 — FIRST CITIZENS INVESTOR SERVICES, INC. notice-filed in AK, DC, HI, IA, ID, IN, KS, KY, MD, ME, MI, MN, MO, MS, MT, ND, NM, NV, OH, OK, OR, RI, SD, VT, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
85
April 2025 — FIRST CITIZENS INVESTOR SERVICES, INC. grew from 130 to 148 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
47
February 2025 — FIRST CITIZENS INVESTOR SERVICES, INC. notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
49
April 2024 — FIRST CITIZENS INVESTOR SERVICES, INC. notice-filed in DE, UT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — FIRST CITIZENS INVESTOR SERVICES, INC. shrank from 138 to 130 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2024 — FIRST CITIZENS INVESTOR SERVICES, INC. added office(s): 73 -> 107 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2024 — FIRST CITIZENS INVESTOR SERVICES, INC. now reports custody of client assets ($94.7M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
47
February 2024 — FIRST CITIZENS INVESTOR SERVICES, INC. notice-filed in MA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.