JS
Jonathan L. Steiner
FIRST CITIZENS INVESTOR SERVICES
RALEIGH, NC 27615
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CRD#: 2157249
JS
Professional summary
Jonathan L Steiner, CFP®, CIMA® is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Jonathan has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 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.
NORTH WAKE YOUTH FOUNDATION- NON PROFIT- INTENDING TO BE A 501 C3 NONPROFIT ORGANIZATION THAT IS BEING ESTABLISHED TO PROMOTE SCOUTING IN THE NORTHERN WAKE COUNTY NC AREA. THE BOARD WILL BE RESPONSIBLE FOR HOLDING THE CHARTERS OF LOCAL SCOUTING GROUPS AND HELPING FACILITATE THE GROWTH OF THE SCOUTING PROGRAM. THE GROUP IS JUST STARTING THE SET UP PROCESS AND I HAVE BEEN ASKED TO HELP ESTABLISH AND WORK WITH THE BOARD FOR THE FIRST TWO YEARS.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan L Steiner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan L Steiner's 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®
CFP®
Start date: 2010
Experience
Current
October 13, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
BD
CRD#: 44430
RALEIGH, NC
Current
October 13, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
BD
CRD#: 44430
RALEIGH, NC
Past
December 14, 2012 - October 10, 2023
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
Henderson, NC
Past
August 23, 2012 - October 10, 2023
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
Henderson, NC
Past
July 13, 2010 - July 16, 2012
BNY ADVISORS
RIA
CRD#: 106108
PENNINGTON, NJ
Past
February 22, 2010 - December 31, 2010
BNY MELLON MANAGED INVESTMENTS, INC.
RIA
CRD#: 107938
RALEIGH, NC
Past
July 10, 2001 - December 11, 2007
FIRST TRUST PORTFOLIOS L.P.
BD
CRD#: 28519
LISLE, IL
Past
March 20, 2000 - April 5, 2001
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
April 15, 1994 - January 7, 2000
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
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".
FC
FIRST CITIZENS INVESTOR SERVICES, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
RIA
Registered Investment Advisory firm - SEC (2/22/2000 Approved)BD
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.RR
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
RR
Alabama(1/8/2024)
RR
Arizona(1/8/2024)
RR
Arkansas(1/8/2024)
RR
California(1/8/2024)
RR
Colorado(1/8/2024)
RR
Connecticut(1/8/2024)
RR
Delaware(1/8/2024)
RR
District of Columbia(1/8/2024)
RR
Florida(1/8/2024)
RR
Georgia(1/8/2024)
RR
Illinois(1/8/2024)
RR
Indiana(1/8/2024)
RR
Kentucky(1/8/2024)
RR
Maine(1/8/2024)
RR
Maryland(1/8/2024)
RR
Massachusetts(1/8/2024)
RR
Michigan(1/8/2024)
RR
Mississippi(1/8/2024)
RR
Montana(1/8/2024)
RR
Nebraska(1/8/2024)
RR
Nevada(1/8/2024)
RR
New Hampshire(1/8/2024)
RR
New Jersey(1/8/2024)
RR
New Mexico(1/8/2024)
RR
New York(1/8/2024)
RR
North Carolina(10/13/2023)
IAR
North Carolina(10/13/2023)
RR
Ohio(1/9/2024)
RR
Oklahoma(1/8/2024)
RR
Pennsylvania(1/8/2024)
RR
South Carolina(1/8/2024)
RR
Tennessee(11/15/2023)
RR
Texas(1/8/2024)
RR
Virginia(1/8/2024)
RR
Washington(1/8/2024)
RR
West Virginia(1/8/2024)
RR
Wisconsin(1/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FIRST CITIZENS INVESTOR SERVICES, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
RIA
Registered Investment Advisory firm - SEC (2/22/2000 Approved)BD
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)
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.
Company Information
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430Raleigh, NC 27615TRUST BUT VERIFY
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