David W. Lobeck

FIRST CITIZENS ASSET MANAGEMENT,

Summerville, SC 29483

Some features on this profile are disabled

CRD#: 1919180

Professional summary

David Warren Lobeck, who also goes by Dave Lobeck, is a registered financial advisor currently at FIRST CITIZENS ASSET MANAGEMENT, INC located in Summerville, South Carolina and FIRST CITIZENS INVESTOR SERVICES, INC. located in Summerville, South Carolina.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. David has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Lobeck

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.

FIRST CITIZENS ASSET MANAGEMENT POSITION: Institutional Business Development NATURE: Investment Advisor for FCAM INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 04/03/2023 ADDRESS: 218 South Main Street, Summerville SC 29486, United States DESCRIPTION: Investment Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Warren Lobeck'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

April 1, 2024 - Present

FIRST CITIZENS ASSET MANAGEMENT, INC

Office #1: 218 S Main St., Summerville, SC 29483

RIA

CRD#: 140777

Summerville, SC

Current

April 6, 2017 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 218 South Main Street, Summerville, SC 29483

RIA

CRD#: 44430

Summerville, SC

Past

April 3, 2023 - April 1, 2024

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Charleston, SC

Past

June 26, 2006 - January 11, 2013

STANCORP INVESTMENT ADVISERS, INC.

RIA

CRD#: 110228

CLEVELAND, OH

Past

April 24, 2006 - January 11, 2013

STANCORP EQUITIES, INC.

CRD#: 19517

INDEPENDENCE, OH

Past

September 16, 2003 - March 20, 2006

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

January 30, 1989 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

January 30, 1989 - August 15, 2003

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

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.

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

Georgia
(7/28/2017)

South Carolina
(6/7/2017)

IAR

South Carolina
(4/1/2024)

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

State Security Law Exam

IAR

Series 65

Date: 4/1/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/6/2017

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/7/1997

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Terry Scipio

SCIPIO FINANCIAL LLC

IAR

SUMMERVILLE, SC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David W. Lobeck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Warren Lobeck's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

STANCORP INVESTMENT ADVISERS, INC.

STANCORP EQUITIES, INC.

EMPOWER FINANCIAL SERVICES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

ONEAMERICA SECURITIES, INC.

Primary Firm SEC Registration

FIRST CITIZENS ASSET MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/2023

Series 63

Date: 6/7/2017

SIE

Date: 10/1/2018

Series 6

Date: 4/6/2017

Series 26

Date: 4/7/1997

FINRA

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

Similar Advisors