Mark R. Dudley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Robert Dudley was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 11 firms and has passed the Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2025 - January 23, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
April 3, 2024 - December 31, 2024
FIRST CITIZENS INVESTOR SERVICES, INC.
March 28, 2024 - January 23, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
June 29, 2023 - April 1, 2024
CETERA INVESTMENT ADVISERS LLC
September 21, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
September 21, 2022 - April 1, 2024
CETERA INVESTMENT SERVICES LLC
September 21, 2022 - April 1, 2024
CETERA FINANCIAL SPECIALISTS LLC
September 21, 2022 - April 1, 2024
CETERA ADVISORS LLC
September 21, 2022 - April 1, 2024
CETERA WEALTH SERVICES, LLC
February 10, 2012 - August 23, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
February 10, 2012 - August 23, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
May 12, 2011 - February 13, 2012
CETERA INVESTMENT SERVICES LLC
February 29, 2008 - February 13, 2012
CETERA INVESTMENT SERVICES LLC
May 21, 2002 - February 29, 2008
WHITNEY SECURITIES, L.L.C.
June 6, 1991 - February 24, 1995
HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.
November 26, 1990 - June 18, 1991
MORGAN KEEGAN & COMPANY, LLC
December 12, 1983 - November 26, 1990
SCHARFF & JONES, INC.
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
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 |
|---|---|---|
| 01/30/2026 | ||
| 01/13/2025 |
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.
