EA
Erik C. Alexander
FIRST CITIZENS INVESTOR SERVICES
Coconut Grove, FL 33133
Some features on this profile are disabled
CRD#: 2565246
EA
Professional summary
Erik Charles Alexander is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Coconut Grove, Florida.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Erik has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 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.
RENTAL PROPERTY POSITION: owner NATURE: Rental Property located in Daytona Beach, FL 32114 INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/31/2006 ADDRESS: Daytona Beach FL, United States DESCRIPTION: Responsible for mortgage payments, assessments, dues, taxes and insurance. A property manager handles any tenant needs or repair requests. ALEXANDER OUTDOORS, INC. POSITION: President NATURE: The business is a family safety and emergency preparedness consultation service. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/28/2017 ADDRESS: Miami FL, United States DESCRIPTION: - Personal/Family Safety and Sporting Goods The Honors College Dean's Advisory Board (DAB) is made up of a group of community leaders from different sectors and industries dedicated to the mission and principles of the Honors College. Members contribute their support, wisdom, and expertise to shape, enrich, and sustain the Honors College and its programs. Members serve as ambassadors to the community and support fundraising to advance the goals of the Honors College and to heighten the visibility of the Honors College in the community. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/09/2023 ADDRESS: Miami FL, United States DESCRIPTION: Contribute to the Honors College via support, wisdom, and expertise to shape, enrich, and sustain the Honors College and its programs. I will serve as an ambassador to the community and support fundraising to advance the goals of the Honors College and to heighten the visibility of the Honors College in the community.
CRS (Client Relationship Summary) - RIA
Click below to view Erik Charles Alexander's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erik Charles Alexander'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
February 3, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2601 S Bayshore Dr Suite 201, Coconut Grove, FL 33133RIA
BD
CRD#: 44430
Coconut Grove, FL
Current
January 29, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2601 S Bayshore Dr Suite 201, Coconut Grove, FL 33133RIA
BD
CRD#: 44430
Coconut Grove, FL
Past
May 27, 2021 - September 10, 2024
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
MIAMI, FL
Past
December 10, 2020 - September 10, 2024
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
PALM BEACH, FL
Past
May 16, 2012 - June 13, 2013
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
KEY BISCAYNE, FL
Past
May 15, 2012 - June 13, 2013
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
KEY BISCAYNE, FL
Past
October 28, 2009 - May 11, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
MIAMI, FL
Past
October 22, 2009 - May 11, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MIAMI, FL
Past
May 25, 2007 - March 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MIAMI, FL
Past
May 24, 2007 - March 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 31, 2007 - April 16, 2007
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
MIAMI, FL
Past
January 26, 2007 - April 16, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
MIAMI, FL
Past
October 1, 2000 - February 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MIAMI, FL
Past
October 1, 2000 - February 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
October 26, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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
Florida(1/29/2025)
IAR
Florida(2/3/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2020
General Securities Representative ExaminationGeneral Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 44430Coconut Grove, FL 33133TRUST BUT VERIFY
Monitor Erik Alexander
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
