John G. Suger

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CRD#: 1655163

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.

John Gerard Suger, who also goes by John Gerard Sugar, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1987. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Gerard Sugar

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 24, 2011 - July 1, 2015

FIRST CITIZENS ASSET MANAGEMENT, INC

RIA

CRD#: 140777

COLUMBIA, SC

Past

October 24, 2011 - July 1, 2015

FIRST CITIZENS SECURITIES CORPORATION

CRD#: 140161

COLUMBIA, SC

Past

February 6, 2002 - October 14, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BREVARD, NC

Past

January 2, 2002 - October 14, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BREVARD, NC

Past

February 14, 2000 - December 31, 2001

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

September 7, 1999 - February 14, 2000

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

April 16, 1998 - August 24, 1999

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Past

May 31, 1996 - July 29, 1998

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

November 22, 1991 - May 30, 1996

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

July 30, 1987 - July 11, 1991

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

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 ASSET MANAGEMENT, INC

FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.

CRD#: 140777 / SEC#: 801-79917

RIA

Registered Investment Advisory firm - (6/19/2014 Approved)

Arkansas

Registered Investment Advisory firm - (12/22/2014 Terminated)

Georgia

Registered Investment Advisory firm - (3/21/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2017 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/24/2017 Terminated)

South Carolina

Registered Investment Advisory firm - (7/15/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/21/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/8/2011

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/5/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/28/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/2/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/2/1999

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 7/22/1994

General Securities Principal Examination

Current Firm

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.

CRD#: 140777 / SEC#: 801-79917

RIA

Registered Investment Advisory firm - (6/19/2014 Approved)

Arkansas

Registered Investment Advisory firm - (12/22/2014 Terminated)

Georgia

Registered Investment Advisory firm - (3/21/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2017 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/24/2017 Terminated)

South Carolina

Registered Investment Advisory firm - (7/15/2014 Terminated)

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Contact information

Main Address

8540 Colonnade Center Drive, Raleigh, NC 27615

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(800) 229-0205

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FCAM FIRM BROCHURE (3/31/2025)

FCAM WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	409
AUM (Assets Under Management)	$ 167,013,742

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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Firm Stability Insights

John G. Suger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST CITIZENS SECURITIES CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

WACHOVIA BROKERAGE SERVICE

FIRST CITIZENS INVESTOR SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

FIRST UNION BROKERAGE SERVICES, INC.

BNY MELLON SECURITIES CORPORATION

Primary Firm SEC Registration

FIRST CITIZENS ASSET MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/1998

Series 63

Date: 8/19/1987

SIE

Date: 7/1/2015

Series 31

Date: 6/8/2011

Series 7

Date: 10/5/1992

Series 6

Date: 7/28/1987

Series 10

Date: 11/2/1999

Series 9

Date: 11/2/1999

Series 24

Date: 7/22/1994

Current Firm

FIRST CITIZENS ASSET MANAGEMENT, INC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS ASSET MANAGEMENT, INC

TRUST BUT VERIFY

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