JC
Julie W. Carter
FIRST CITIZENS INVESTOR SERVICES
Murphy, NC 28906
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CRD#: 2399479
JC
Professional summary
Julie Walton Carter, who also goes by Julie M Anderson, Julie Maria Anderson, Julie Anderson, Julie Maria Walton, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Murphy, North Carolina.
Julie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Julie has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Julie M Anderson | Julie Maria Anderson | Julie Anderson | Julie Maria Walton
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.
Tri-County Community College Board of Trustees, Clay County Representative; not investment-related; MAIN CAMPUS 21 Campus Circle Murphy, NC 28906; College serves commuter students in a remote, rural area consisting of Cherokee, Clay, and Graham Counties by providing college transfer, vocational, technical, and adult education programs; Trustee; 3/6/2023 1-2 hours/month, 1 during trading hours; Trustees are authorized to do all things necessary and proper to organize and operate Tri-County Community College consistent with laws and State Board rules and regulations.
CRS (Client Relationship Summary) - RIA
Click below to view Julie Walton Carter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Julie Walton Carter'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
November 9, 2021 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 22 Hiwassee Street, Murphy, NC 28906RIA
BD
CRD#: 44430
Murphy, NC
Current
November 8, 2021 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 22 Hiwassee Street, Murphy, NC 28906RIA
BD
CRD#: 44430
Murphy, NC
Past
July 16, 2018 - November 13, 2019
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
MILTON, GA
Past
July 13, 2018 - November 13, 2019
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
MILTON, GA
Past
August 22, 2016 - July 23, 2018
WADDELL & REED
RIA
CRD#: 866
TAMPA, FL
Past
August 12, 2016 - July 23, 2018
WADDELL & REED
BD
CRD#: 866
TAMPA, FL
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(7/2/2024)
RR
Arkansas(1/16/2024)
RR
California(7/26/2022)
RR
Florida(12/21/2022)
RR
Georgia(1/14/2022)
RR
North Carolina(11/9/2021)
IAR
North Carolina(11/9/2021)
RR
South Carolina(7/10/2024)
RR
Tennessee(12/20/2023)
Exams
State Security Law Exam
General 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.
