D. H. Rothwell

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CRD#: 3104578

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.

D. Hunter Rothwell, who also goes by D. Hunter Rothwell, David H Rothwell, David Hunter Rothwell, was a registered financial professional .

D. is a previously registered financial professional and started their career in finance in 1998. D. had worked at 3 firms and has passed the Series 65, Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

D. Hunter Rothwell | David H Rothwell | David Hunter Rothwell

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

June 17, 2014 - June 19, 2014

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Charlottesville, VA

Past

June 16, 2014 - June 19, 2014

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

Charlottesville, VA

Past

September 5, 2003 - July 23, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHARLOTTE, NC

Past

September 5, 2003 - July 23, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHARLOTTE, NC

Past

September 27, 2002 - September 10, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLOTTE, NC

Past

April 8, 1999 - September 10, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 11, 1998 - March 2, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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: 9/25/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/29/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 3/2/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/10/1998

General Securities Representative 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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Firm Stability Insights

D. H. Rothwell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2002

Series 66

Date: 10/29/1998

Series 31

Date: 3/2/2006

Series 7

Date: 9/10/1998

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

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