RM
Robin K. Miller
FIRST CITIZENS INVESTOR SERVICES
Winston-salem, NC 27103
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CRD#: 3025052
RM
Professional summary
Robin Keith Miller is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Winston-salem, North Carolina.
Robin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Robin has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, 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.
1. Kaleidum Childrens Museum, 390 South Libert Street c/o Elizabeth Dampier Winston-Salem, NC 7101. Non-profit children's museum, role is uncompensated board member. Duties are assisting with community development needs and advisory role in operations. I will be assisting with community awareness and volunteer needs, excluding any money handling, check writing, treasury or investment roles. I will not be offering investment advise in my role. Beginning 8/1/2020. 10 hours/month, 1 during trading hours. Not investment related. No compensation received. 2. Piedmont Opera Theatre, Inc. 636 Holly Avenue c/o Jen Rimes, Winston-Salem , NC 27101. Uncompensated board member, duties are assisting with community development, marketing, awareness, assist with spring and fall opera production as needed. I will not be handling or responsible for cash (money) finds of Piedmonth Opera. Nor whill I be writing checks or directing investments. I will not be offering investmetn advice in my role as board member. Beginning 8/23/2020. 10 hours/month, 1 during trading hours. Not investment related, no compensation received. 3. Arts Council of Winston-Salem Forsyth County; not investment related; 251 North Spruce Street, Winston-Salem, NC 27101; Serve as a leader in lifting up, creating awareness and providing support to grow and sustain artistic, cultural and creative offerings throughout our region; Member, Board of Trustees; Starting 2/15/2023; 4 hour/month, 1 during securities trading hours; will be working on community engagement and development along with input on broad strategic planning.
CRS (Client Relationship Summary) - RIA
Click below to view Robin Keith Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robin Keith Miller'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
July 29, 2014 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 3001 Trenwest Drive, Winston-salem, NC 27103RIA
BD
CRD#: 44430
Winston-salem, NC
Current
August 27, 2014 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 3001 Trenwest Drive, Winston-salem, NC 27103RIA
BD
CRD#: 44430
Winston-salem, NC
Past
March 16, 2006 - July 31, 2012
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
GREENSBORO, NC
Past
January 3, 2005 - July 31, 2012
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
GREENSBORO, NC
Past
September 30, 2002 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
BD
CRD#: 120471
DURHAM, NC
Past
October 6, 1999 - September 30, 2002
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
April 7, 1998 - September 16, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
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
IAR
North Carolina(7/29/2014)
RR
North Carolina(7/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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)
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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)
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.
