Our Staff has compiled our research into a database of FINRA Broker Disclosures for First Citizens Investor Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Veltrice MacOn Higginbotham | 5468275 | 3 | 01/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary R Clementson | 5693752 | 1 | 07/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Teresa Joy Smith | 6613814 | 1 | 06/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jake Shamon | 7264210 | 1 | 04/15/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen Michael Hiott | 6761259 | 1 | 01/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karyn Lynn Lemons | 7487838 | 1 | 01/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessie Marie McCollough | 7011992 | 1 | 12/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tracy Ann Furguson | 6552480 | 1 | 09/20/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tonia Lynn Bandy | 6983588 | 1 | 06/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carrie Spencer Pedersen | 6533935 | 1 | 05/02/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |