Carolyn W. Horn

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CRD#: 2713088

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carolyn White Horn, who also goes by Carolyn W Horn, Carolyn Knowles White, was a registered financial professional .

Carolyn is a previously registered financial professional and started their career in finance in 2000. Carolyn had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carolyn W Horn | Carolyn Knowles White

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 7, 2018 - August 28, 2020

FIRST CITIZENS ASSET MANAGEMENT, INC

RIA

CRD#: 140777

Columbia, SC

Past

August 24, 2018 - August 28, 2020

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

COLUMBIA, SC

Past

August 24, 2018 - August 28, 2020

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

COLUMBIA, SC

Past

June 12, 2007 - August 17, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLUMBIA, SC

Past

June 12, 2007 - August 17, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLUMBIA, SC

Past

October 20, 2004 - April 23, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

NASHVILLE, TN

Past

October 11, 2004 - April 23, 2007

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NASHVILLE, TN

Past

March 30, 2004 - July 27, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

FRANKLIN, TN

Past

August 27, 2001 - July 27, 2004

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

December 8, 2000 - June 29, 2001

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

September 20, 2000 - November 22, 2000

A. G. EDWARDS & SONS, INC.

CRD#: 4

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".

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.

CRD#: 140777 / SEC#: 801-79917

RIA

Registered Investment Advisory firm - (6/19/2014 Approved)

Arkansas

Registered Investment Advisory firm - (12/22/2014 Terminated)

Georgia

Registered Investment Advisory firm - (3/21/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2017 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/24/2017 Terminated)

South Carolina

Registered Investment Advisory firm - (7/15/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/6/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 9/30/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/6/2004

General Securities Sales Supervisor - General Module Examination

Current Firm

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.

CRD#: 140777 / SEC#: 801-79917

RIA

Registered Investment Advisory firm - (6/19/2014 Approved)

Arkansas

Registered Investment Advisory firm - (12/22/2014 Terminated)

Georgia

Registered Investment Advisory firm - (3/21/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2017 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/24/2017 Terminated)

South Carolina

Registered Investment Advisory firm - (7/15/2014 Terminated)

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Contact information

Main Address

8540 Colonnade Center Drive, Raleigh, NC 27615

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(800) 229-0205

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FCAM FIRM BROCHURE (3/31/2025)

FCAM WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	409
AUM (Assets Under Management)	$ 167,013,742

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/13/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Carolyn W. Horn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

TRUIST SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

FIRST CITIZENS ASSET MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/6/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/19/2000

Series 9

Date: 9/30/2005

Series 10

Date: 1/6/2004

Current Firm

FIRST CITIZENS ASSET MANAGEMENT, INC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS ASSET MANAGEMENT, INC

TRUST BUT VERIFY

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