DG
Daniel C. Griffin
FIRST CITIZENS INVESTOR SERVICES
Fayetteville, NC 28314
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CRD#: 2227095
DG
Professional summary
Daniel Clayton Griffin III, CFP®, who also goes by Dan Griffin, Daniel C Griffin III, Daniel Clayton Griffin, Daniel Griffin, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Fayetteville, North Carolina.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Estate Planning
Investment Planning
Retirement Planning
Comprehensive Financial Planni...
Long-term Care
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Dan Griffin | Daniel C Griffin Iii | Daniel Clayton Griffin | Daniel Griffin
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.
1) GRIFFIN & PAPPAS, LLC LOCATED 2936 SKYE DR., FAYETTEVILLE, NC 28303. IT IS A REAL ESTATE HOLDING COMPANY AND IS NOT INVESTMENT RELATED. POSITION IS AN LLC MEMBER 26%. COMPENSATION IS IN RENTAL INCOME. NO DESIGNATED DUTIES. START DATE 5/1/2013; 1 HOUR/MONTH. ZERO HOURS DURING NORMAL TRADING HOURS. 2) Buckhead Investments LLC at P.O. Box 53309, Fayetteville, NC 28305; nature of business is real estate holding company; position is partner in family owned real estate company since 10/14/2005. 1 hr/month, 0 hrs/month during trading hours; not investment related. No compensation - report K-1 income on tax return.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Clayton Griffin III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Clayton Griffin III'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: 2007
Experience
Current
November 5, 1998 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 520 Westwood Shopping Center, Fayetteville, NC 28314RIA
BD
CRD#: 44430
Fayetteville, NC
Current
April 16, 1998 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 520 Westwood Shopping Center, Fayetteville, NC 28314RIA
BD
CRD#: 44430
Fayetteville, NC
Past
April 7, 1995 - July 29, 1998
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
CHARLOTTE, NC
Past
April 20, 1992 - April 11, 1995
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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(1/2/2018)
RR
California(5/29/1998)
RR
District of Columbia(7/6/2023)
RR
Florida(5/20/1999)
RR
Georgia(9/17/1998)
RR
Illinois(6/15/2021)
RR
Maine(1/29/2021)
RR
Maryland(10/14/1999)
RR
Massachusetts(6/29/1999)
RR
Michigan(10/3/2016)
RR
Missouri(9/11/2014)
RR
Montana(1/8/2024)
RR
New York(5/26/1998)
RR
North Carolina(7/30/1998)
IAR
North Carolina(12/31/2001)
RR
Oklahoma(7/14/2015)
RR
Pennsylvania(2/16/2001)
RR
South Carolina(7/30/1998)
RR
Tennessee(1/25/2016)
RR
Texas(4/30/1998)
IAR
Texas(3/10/2023)
RR
Virginia(5/17/1999)
RR
Wisconsin(10/24/2016)
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#: 44430Fayetteville, NC 28314TRUST BUT VERIFY
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Contact information
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