Shanua A. Joo

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CRD#: 2917672

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.

Shanua Allen Joo, who also goes by Shanua Kae Allen Berry, Shanua Kae Allen-berry, Shanua Kae Allenberry, Shanua Kae Berry Allen, was a registered financial professional .

Shanua is a previously registered financial professional and started their career in finance in 1997. Shanua had worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 52, Series 24 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Shanua Kae Allen Berry | Shanua Kae Allen-Berry | Shanua Kae Allenberry | Shanua Kae Berry Allen

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.

1) SVB WEALTH, LLC POSITION: Employee NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/24/2025 ADDRESS: 53 State Steet, 28th Floor, Boston MA 02109, United States DESCRIPTION: SVB Wealth LLC is a wholly owned subsidiary of First Citizens Bank & Trust and an affiliate of First Citizens Investor Services and First Citizens Asset Management. 2) FIRST CITIZENS ASSET MANAGEMENT, INC. POSITION: Employee NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/24/2025 ADDRESS: 8540 Colonnade Center Drive, Raleigh NC 27615, United States DESCRIPTION: Registered Investment Advisor

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

February 15, 2022 - April 17, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

CHARLOTTE, NC

Past

February 15, 2022 - April 17, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

CHARLOTTE, NC

Past

July 27, 2021 - September 2, 2021

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

DALLAS, TX

Past

July 22, 2021 - September 2, 2021

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

July 10, 2020 - October 21, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

July 10, 2020 - October 21, 2021

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

May 16, 2018 - April 16, 2020

WORLD INVESTMENT ADVISORS, LLC

RIA

CRD#: 208512

Charolotte, NC

Past

May 15, 2018 - April 16, 2020

PENSIONMARK SECURITIES, LLC

CRD#: 283952

Charlotte, NC

Past

June 23, 2017 - April 25, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

June 22, 2017 - April 25, 2018

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 21, 2015 - April 12, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

April 15, 2015 - April 12, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHARLOTTE, NC

Past

May 15, 2006 - October 11, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

May 3, 2006 - October 11, 2013

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

July 1, 2003 - April 26, 2006

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

MERRITT ISLAND, FL

Past

July 17, 2002 - July 9, 2003

CHOREO, LLC

RIA

CRD#: 111221

MELBOURNE, FL

Past

August 4, 1997 - April 26, 2006

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

MERRITT ISLAND, 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".

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.

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 65

Date: 2/23/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/1/1997

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/15/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 9/10/2001

General Securities Sales Supervisor - General Module Examination

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)

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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)

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.

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Advisor Monitoring

Firm Stability Insights

Shanua A. Joo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WORLD INVESTMENT ADVISORS, LLC

PENSIONMARK SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE ADVISOR SERVICES, INC.

CHOREO, LLC

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2001

Series 63

Date: 8/9/1997

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/13/1998

Series 52

Date: 8/1/1997

Series 24

Date: 8/15/2005

Series 10

Date: 9/10/2001

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.

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