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Investment Adviser Firm Summary

FIRST CITIZENS INVESTOR SERVICES, INC. (CRD# 44430 / SEC# 8-50696, 801-57302)
Alternate Names: FIRST CITIZENS INVESTOR SERVICES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/22/2000

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
California 03/29/2001
Florida 05/13/1999
Georgia 03/11/1999
Illinois 12/22/2000
Indiana 11/05/2002
Louisiana 06/23/2017
Maryland 02/29/2012
Mississippi 01/07/2004
Nebraska 04/10/2013
New Hampshire 03/19/2018
New Jersey 04/13/2001
New York 09/02/2015
North Carolina 01/29/2001
Pennsylvania 11/26/2001
South Carolina 01/29/2001
Tennessee 12/21/2009
Texas 04/29/1998
Virginia 03/02/2001
Washington 12/18/2009
West Virginia 09/17/1998

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser