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ROBERTA K DAWSON
ROBERTA DAWSON, ROBERTA KEY
CRD#: 5163308
IA
Investment Adviser
B
Broker
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 128 S TRYON STREET
CHARLOTTE, NC 28202
Registration History
20062008201020122014201620182020202220242026IAFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2017 - Present (7 years)BFIRST CITIZENS INVESTOR SERVIC... (CRD# 44430)2009 - Present (16 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2007 - 2008 (1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Alabama 2/6/2020

B
New York 2/22/2018

B
Alaska 2/22/2018

B
North Carolina 2/2/2009

B
California 2/21/2018

IA
North Carolina 10/23/2017

B
Colorado 2/22/2018

B
Ohio 2/21/2018

B
Florida 2/22/2018

B
Pennsylvania 2/22/2018

B
Georgia 4/16/2018

B
South Carolina 2/22/2018

B
Illinois 12/18/2020

B
Tennessee 2/22/2018

B
Maryland 2/23/2018

B
Texas 2/24/2018

B
Massachusetts 2/22/2018

B
Virginia 2/22/2018

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
128 S TRYON STREET, CHARLOTTE, NC 28202
Registered with this firm since 10/23/2017

B
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
128 S TRYON STREET, CHARLOTTE, NC 28202
Registered with this firm since 2/2/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/09/2007 - 11/05/2008 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CHARLOTTE, NC
B
07/19/2006 - 11/03/2006 VANGUARD MARKETING CORPORATION (CRD#:7452) CHARLOTTE, NC
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B
Broker
IA
Investment Adviser
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.