Daneen E. Gimson

FIRST CITIZENS INVESTOR SERVICES

Charlotte, NC 28226

Some features on this profile are disabled

CRD#: 3218382

Professional summary

Daneen Evana Gimson, who also goes by Daneen Evana Derby, Daneen E Newsom, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Charlotte, North Carolina.

Daneen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Daneen has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daneen Evana Derby | Daneen E Newsom

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 Daneen Evana Gimson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daneen Evana Gimson'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

January 9, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 7837 Pineville-matthews Road, Charlotte, NC 28226

RIA

CRD#: 44430

Charlotte, NC

Current

January 6, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 7837 Pineville-matthews Road, Charlotte, NC 28226

RIA

CRD#: 44430

Charlotte, NC

Past

August 27, 2021 - July 16, 2024

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

August 27, 2021 - July 16, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 17, 2020 - August 17, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CHARLOTTE, NC

Past

July 17, 2020 - August 17, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

Charlotte, NC

Past

October 4, 2019 - July 17, 2020

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

Charlotte, NC

Past

October 2, 2019 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

Charlotte, NC

Past

November 16, 2016 - March 4, 2019

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CHARLOTTE, NC

Past

October 31, 2016 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

CHARLOTTE, NC

Past

July 28, 2016 - March 4, 2019

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHARLOTTE, NC

Past

March 3, 2015 - April 20, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PHILADELPHIA, PA

Past

May 15, 2013 - October 11, 2013

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319

HARTFORD, CT

Past

October 27, 2005 - October 12, 2006

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CHARLOTTE, NC

Past

July 28, 2004 - October 28, 2005

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

March 27, 2001 - March 20, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 28, 1999 - April 14, 2000

P.J. ROBB VARIABLE, LLC

CRD#: 38339

MEMPHIS, TN

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
(1/7/2025)

IAR

North Carolina
(1/9/2025)

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: 10/25/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/27/2001

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: 9/16/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/14/2013

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/30/2025

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 1/28/2005

Investment Company Products/Variable Contracts 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)

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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

Daneen E. Gimson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daneen Evana Gimson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daneen Evana Gimson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

PNC WEALTH MANAGEMENT LLC

SAYBRUS EQUITY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

OSAIC FS, INC.

WELLS FARGO CLEARING SERVICES, LLC

P.J. ROBB VARIABLE, LLC

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2016

Series 63

Date: 6/27/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2016

Series 6

Date: 5/14/2013

Series 24

Date: 1/30/2025

Series 26

Date: 1/28/2005

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

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