Mark R. Dudley

FIRST CITIZENS INVESTOR SERVICES

Covington, LA

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CRD#: 1145120

Professional summary

Mark Robert Dudley is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Covington, Louisiana.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 11 firms and has passed the Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Robert Dudley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark Robert Dudley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 31, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Covington, LA

Current

March 28, 2024 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Covington, LA

Past

April 3, 2024 - December 31, 2024

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Covington, LA

Past

June 29, 2023 - April 1, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

COVINGTON, LA

Past

September 21, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

COVINGTON, LA

Past

September 21, 2022 - April 1, 2024

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

September 21, 2022 - April 1, 2024

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

September 21, 2022 - April 1, 2024

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

September 21, 2022 - April 1, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

February 10, 2012 - August 23, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

COVINGTON, LA

Past

February 10, 2012 - August 23, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

COVINGTON, LA

Past

May 12, 2011 - February 13, 2012

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

MANDEVILLE, LA

Past

February 29, 2008 - February 13, 2012

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MANDEVILLE, LA

Past

May 21, 2002 - February 29, 2008

WHITNEY SECURITIES, L.L.C.

CRD#: 103715

NEW ORLEANS, LA

Past

June 6, 1991 - February 24, 1995

HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.

CRD#: 2148

Past

November 26, 1990 - June 18, 1991

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

Past

December 12, 1983 - November 26, 1990

SCHARFF & JONES, INC.

CRD#: 745

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Louisiana
(3/28/2024)

IAR

Louisiana
(1/31/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/14/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/30/1995

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

8540 Colonnade Center Drive, Raleigh, NC 27615-3052

Mailing Address

P.o. Box 27131, Raleigh, NC 27611-7131

Phone number

(919) 986-3546

Established

North Carolina since 01/11/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

322

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FCIS FIRM BROCHURE (11/18/2025)

FCIS WRAP BROCHURE (11/18/2025)

Direct owners and executive officers

Name	Position	CRD#
FIRST-CITIZENS BANK & TRUST COMPANY	100% OWNER
BILITER, DAVID LEE	DIRECTOR, PRESIDENT	1690995
CECE, MARY	SECRETARY	2135583
LONGEST, MICHAEL LEE	DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY	6692593
MARRONE, MARK STEPHEN	CHIEF COMPLIANCE OFFICER	1987907
MCCALLUM, CHARLES FALCONER III	DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE	2697260
WALSH, WILLIAM JAMES	DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR	4883580
WILSON, MICHAEL CHRISTOPHER	DIRECTOR, WEALTH MANAGEMENT EXECUTIVE	4301352

Regulatory assets under management

Total Number of Accounts	6,706
AUM (Assets Under Management)	$ 2,098,769,026

Disclosures

Regulatory Event	2
Arbitration	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/13/2025	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mark R. Dudley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Robert Dudley's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark Robert Dudley's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

WHITNEY SECURITIES, L.L.C.

HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.

MORGAN KEEGAN & COMPANY, LLC

SCHARFF & JONES, INC.

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1983

Series 24

Date: 5/14/2004

Series 53

Date: 6/30/1995

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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