Mark B. Nance
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 Bradley Nance was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1990. Mark had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2017 - June 6, 2023
FIRST CITIZENS INVESTOR SERVICES, INC.
January 13, 2017 - June 6, 2023
FIRST CITIZENS INVESTOR SERVICES, INC.
January 3, 2011 - December 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - December 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 7, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
September 11, 1996 - March 6, 1997
FORTA FINANCIAL GROUP, INC.
February 1, 1994 - September 19, 1996
AMERIPRISE ADVISOR SERVICES, INC.
August 31, 1990 - January 14, 1994
H.J. MEYERS & CO., INC.
January 25, 1990 - September 5, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
Current 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 |
|---|---|---|
| 01/13/2025 |
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.
