JL
John C. Liddicoat
FIRST CITIZENS INVESTOR SERVICES
RALEIGH, NC 27615
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CRD#: 2300904
JL
Professional summary
John Christopher Liddicoat, CFP®, who also goes by Chris Liddicoat, J.christopher Liddicoat, Jchristopher C Liddicoat, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 2, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Liddicoat | J.christopher Liddicoat | Jchristopher C Liddicoat
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) NAME AND ADDRESS: MADELINE AND J. CHRISTOPHER LIDDICOAT, RENTAL PROPERTY, PO BOX 1208 HILLSBOROUGH NC 27278. NATURE OF BUSINESS: REAL ESTATE. INVESTMENT RELATED: NO. TITLE: CO-OWNER WITH SPOUSE. DUTIES: NONE. START DATE: 3/15/2014. HOURS PER MONTH: 6. HOURS PER MONTH DURING TRADING HOURS: 0. Collect rent, coordinate property maintenance. Compensation is from rent. 2) Personal farm; not investment-related; 4609 St. Mary's Road Hillsborough NC 27278; sell hay from time to time and an upcoming truffle business; owner; Started around July 1, 2018; 20 hours/month, 0 during securities trading hours; works the farm, growing and tend to the land. Sell some hay, work in the truffle orchard.
CRS (Client Relationship Summary) - RIA
Click below to view John Christopher Liddicoat's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Christopher Liddicoat'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®
Experience
Current
June 22, 2017 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
BD
CRD#: 44430
RALEIGH, NC
Current
June 22, 2017 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
BD
CRD#: 44430
RALEIGH, NC
Past
January 5, 2016 - June 19, 2017
SAYBRUS EQUITY SERVICES, LLC
BD
CRD#: 153319
HARTFORD, CT
Past
February 11, 2010 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
SEATTLE, WA
Past
February 11, 2010 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SEATTLE, WA
Past
February 18, 2004 - February 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN FRANCISCO, CA
Past
February 20, 2001 - February 1, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN FRANCISCO, CA
Past
June 1, 1998 - April 4, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
March 19, 1993 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
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
Alaska(1/23/2020)
RR
Arizona(4/25/2025)
RR
California(5/4/2022)
RR
Delaware(9/29/2025)
RR
Florida(2/22/2019)
RR
Georgia(3/19/2021)
RR
Kansas(5/2/2018)
RR
Maryland(5/2/2018)
RR
New Mexico(1/22/2025)
RR
North Carolina(6/22/2017)
IAR
North Carolina(6/22/2017)
RR
South Carolina(10/23/2018)
RR
South Dakota(2/8/2019)
RR
Tennessee(1/31/2025)
RR
Texas(8/8/2023)
RR
West Virginia(12/2/2019)
RR
Wisconsin(2/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 2/28/1996
Non-Member General Securities ExaminationGeneral Industry/Product Exam
General Industry/Product 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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Contact information
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