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Detailed Report
PRITI JAY MORA
PRITI J MORA
CRD#: 5047734
IA
Investment Adviser
B
Broker
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 28641 Marguerite Parkway
Mission Viejo, CA 92692
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2008 - 2010 (2 years)2 FIRMS2010 - 2021 (10 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

IA
California 6/6/2023
B
California 6/7/2023

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 INVESTOR SERVICES, INC. (CRD#:44430)
28641 Marguerite Parkway, Mission Viejo, CA 92692
Registered with this firm since 6/6/2023
B
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
28641 Marguerite Parkway, Mission Viejo, CA 92692
Registered with this firm since 6/6/2023
Previous Registration(s)
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IA
 12/22/2010 - 10/08/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) IRVINE, CA
B
 12/22/2010 - 10/08/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) IRVINE, CA
IA
 08/01/2008 - 12/22/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LAGUNA NIGUEL, CA
B
 08/01/2008 - 12/22/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LAGUNA NIGUEL, CA
IA
 10/13/2006 - 08/06/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LAGUNA NIGUEL, CA
B
 09/26/2006 - 08/06/2007 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LAGUNA NIGUEL, CA
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.