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Detailed Report
PHILLIP EVANS NEUHART
PHILLIP NEUHART
CRD#: 4696592
IA
Investment Adviser
B
Broker
FIRST CITIZENS ASSET MANAGEMENT, INCCRD#: 140777 8510 Colonnade Center Drive
Raleigh, NC 27615
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 8540 Colonnade Center Drive
RALEIGH, NC 27615
Registration History
2008201020122014201620182020202220242026IAFIRST CITIZENS ASSET MANAGEMEN... (CRD# 140777)2017 - Present (8 years)BFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2016 - Present (8 years)BMORGAN STANLEY & CO. LLC (CRD# 8209)2009 - 2016 (6 years)BWELLS FARGO SECURITIES, LLC (CRD# 126292)2007 - 2009 (2 years)IAFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2016 - 2017 (<1 year)IAMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2009 - 2010 (1 year)
License(s)

State Registrations

B
North Carolina 5/4/2016
IA
North Carolina 1/20/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIRST CITIZENS ASSET MANAGEMENT, INC (CRD#:140777)
8510 Colonnade Center Drive, Raleigh, NC 27615
Registered with this firm since 1/20/2017
B
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
8540 Colonnade Center Drive, RALEIGH, NC 27615
Registered with this firm since 5/4/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/16/2016 - 01/20/2017 FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430) Raleigh, NC
B
 10/07/2009 - 05/02/2016 MORGAN STANLEY & CO. LLC (CRD#:8209) NEW YORK, NY
IA
 11/09/2009 - 12/31/2010 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
B
 08/03/2007 - 09/24/2009 WELLS FARGO SECURITIES, LLC (CRD#:126292) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.