RS
Robert E. Spires
FIRST CITIZENS ASSET MANAGEMENT,
RALEIGH, NC 27615
Some features on this profile are disabled
CRD#: 2311376
RS
Professional summary
Robert Edward Spires JR, who also goes by Bobby Spires Jr, is a registered financial advisor currently at FIRST CITIZENS ASSET MANAGEMENT, INC located in Raleigh, North Carolina and FIRST CITIZENS INVESTOR SERVICES, INC. located in Columbia, South Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 27, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bobby Spires Jr
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) First Citizens Asset Management; 1230 Main Street Columbia SC, 29201; Began 02/06/2007; Investment Advisor Representative; 40 hours/month during trading hours. Investment Related; Duties are supervision of regional managers; FCAM offers investment advisory services to clients for a fee. Compensation is part of salary paid by FCIS. No direct compensation received from FCAM. 2) RELENTLESS TRAINING CORPS POSITION: Partner NATURE: Personal and group/team fitness training and conditioning INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/18/2013 ADDRESS: West Columbia SC 29169, United States DESCRIPTION: Personal and group fitness training, online meal and workout planning.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Edward Spires JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Edward Spires JR'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®
NoneExperience
Current
January 31, 2007 - Present
FIRST CITIZENS ASSET MANAGEMENT, INC
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
CRD#: 140777
RALEIGH, NC
Current
April 1, 2021 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 1230 Main Street, Columbia, SC 29201RIA
BD
CRD#: 44430
COLUMBIA, SC
Current
January 4, 2016 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 1230 Main Street, Columbia, SC 29201RIA
BD
CRD#: 44430
COLUMBIA, SC
Past
January 17, 2007 - January 4, 2016
FIRST CITIZENS SECURITIES CORPORATION
BD
CRD#: 140161
COLUMBIA, SC
Past
June 15, 2002 - January 17, 2007
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLUMBIA, SC
Past
June 15, 2002 - January 17, 2007
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 14, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
May 31, 1994 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
BD
CRD#: 17503
WINSTON SALEM, NC
Past
January 28, 1993 - May 31, 1994
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
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
Arizona(2/14/2017)
RR
Arkansas(1/4/2016)
RR
California(1/4/2016)
RR
Colorado(1/4/2016)
RR
Delaware(1/4/2016)
RR
District of Columbia(2/24/2017)
RR
Florida(1/4/2016)
RR
Georgia(1/4/2016)
RR
Illinois(2/14/2017)
RR
Indiana(1/4/2016)
RR
Iowa(2/24/2017)
RR
Kansas(2/14/2017)
RR
Kentucky(1/4/2016)
RR
Louisiana(1/4/2016)
RR
Maine(2/24/2017)
RR
Maryland(2/14/2017)
RR
Massachusetts(1/4/2016)
RR
Michigan(2/14/2017)
RR
Mississippi(1/4/2016)
RR
Nevada(1/4/2016)
RR
New Jersey(1/4/2016)
RR
New York(1/4/2016)
RR
North Carolina(1/4/2016)
RR
Ohio(1/4/2016)
RR
Oklahoma(2/23/2017)
RR
Oregon(2/23/2017)
RR
Pennsylvania(1/4/2016)
IAR
South Carolina(1/31/2007)
RR
South Carolina(1/4/2016)
RR
Tennessee(1/4/2016)
RR
Texas(1/4/2016)
RR
Utah(1/4/2016)
RR
Virgin Islands(4/13/2021)
RR
Virginia(1/4/2016)
RR
West Virginia(1/4/2016)
RR
Wisconsin(2/24/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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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Contact information
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