Brian C. Gamache
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.
Brian Craig Gamache, who also goes by Craig Gamache, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - July 10, 2019
FIRST CITIZENS INVESTOR SERVICES, INC.
January 3, 2017 - July 10, 2019
FIRST CITIZENS INVESTOR SERVICES, INC.
August 4, 2016 - January 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2016 - January 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2004 - March 1, 2016
PINNACLE CAPITAL MARKETS, LLC
February 2, 2001 - May 25, 2004
BROWNCO, LLC
February 16, 1999 - July 26, 2000
RAYMOND JAMES & ASSOCIATES, INC.
June 26, 1997 - January 1, 1998
SOUTHERN FINANCIAL GROUP, INC.
April 10, 1997 - June 20, 1997
CHARLES SCHWAB & CO., INC.
January 17, 1997 - February 10, 1997
FAIRCHILD FINANCIAL GROUP, INC.
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
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.
