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Detailed Report
STEPHEN M MCCORMACK
CRD#: 5060266
IA
Investment Adviser
B
Broker
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 5417 Page Road
Durham, NC 27703
Registration History
20062008201020122014201620182020202220242026IAFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2017 - Present (7 years)BFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2007 - Present (18 years)BEDWARD JONES (CRD# 250)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 2/20/2024
B
Missouri 1/31/2024
B
Arkansas 2/21/2018
B
Nevada 2/21/2018
B
California 7/1/2019
B
New York 2/21/2018
B
Colorado 2/21/2018
B
North Carolina 1/3/2007
B
District of Columbia 2/21/2018
IA
North Carolina 10/11/2017
B
Florida 2/21/2018
B
Oregon 11/29/2021
B
Georgia 2/21/2018
B
Pennsylvania 2/21/2018
B
Illinois 2/21/2018
B
South Carolina 2/21/2018
B
Indiana 2/21/2018
B
Tennessee 12/18/2019
B
Kansas 2/28/2020
B
Texas 2/21/2018
B
Kentucky 2/21/2018
B
Virginia 2/21/2018
B
Maryland 2/21/2018
B
Washington 2/21/2018
B
Massachusetts 2/21/2018
B
Wisconsin 2/21/2018
B
Michigan 2/21/2018

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)
5417 Page Road, Durham, NC 27703
Registered with this firm since 10/11/2017
B
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
5417 Page Road, Durham, NC 27703
Registered with this firm since 1/3/2007
Previous Registration(s)
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B
 01/01/2006 - 04/21/2006 EDWARD JONES (CRD#:250) ST. LOUIS, MO
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.