Michael D. Clark

FIRST CITIZENS INVESTOR SERVICES

Hendersonville, NC 28792

Some features on this profile are disabled

CRD#: 2862663

Professional summary

Michael D Clark, who also goes by Michael David Clark, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Hendersonville, North Carolina.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael David Clark

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) - RIA

Click below to view Michael D Clark's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael D Clark's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 24, 2018 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 539 North Main St., Hendersonville, NC 28792

RIA

CRD#: 44430

Hendersonville, NC

Current

December 24, 2018 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 539 North Main St., Hendersonville, NC 28792

RIA

CRD#: 44430

Hendersonville, NC

Past

December 6, 2017 - December 7, 2018

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

SPARTA, NC

Past

December 6, 2017 - December 7, 2018

FIFTH THIRD SECURITIES, INC.

CRD#: 628

SPARTA, NC

Past

April 15, 2016 - November 30, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ASHEVILLE, NC

Past

April 15, 2016 - November 30, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ASHEVILLE, NC

Past

October 23, 2009 - April 12, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREENVILLE, SC

Past

October 23, 2009 - April 12, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREENVILLE, SC

Past

July 19, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

ASHEVILLE, NC

Past

July 19, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

ASHEVILLE, NC

Past

August 27, 2002 - April 11, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

ASHEVILLE, NC

Past

February 13, 2001 - April 11, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

ASHEVILLE, NC

Past

July 12, 1999 - January 31, 2000

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

April 7, 1997 - July 12, 1999

BA INVESTMENT SERVICES, INC.

CRD#: 12965

OAKLAND, CA

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 INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

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.

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

North Carolina
(12/24/2018)

IAR

North Carolina
(12/24/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/26/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/5/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/6/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FCIS FIRM BROCHURE (11/18/2025)

FCIS WRAP BROCHURE (11/18/2025)

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	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.

Similar Advisors

Douglas English

ACT ADVISORS

IAR

Asheville, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael D. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael D Clark's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael D Clark's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2002

Series 63

Date: 4/5/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2002

Series 6

Date: 4/5/1997

Series 24

Date: 10/6/2014

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS INVESTOR SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors