AH
Amy B. Howell
FIRST CITIZENS INVESTOR SERVICES
Raleigh, NC 27603
Some features on this profile are disabled
CRD#: 3275229
AH
Professional summary
Amy Banister Howell, who also goes by Amy Banister Rabb, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Amy has worked at 6 firms and has passed the Series 66, Series 63, Series 6TO, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Banister Rabb
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. INTELLIGENT SECURITY CONCEPTS, LLC. ADMINISTRATION. 1329 TAVERNIER KNOLL LANE, RALEIGH, NC 27603. ACCOUNTING AND CLERICAL DUTIES FOR SECURITY AND FIRE INSTALLATION, SERVICE AND MONITORING COMPANY. NOT INVESTMENT RELATED. 10-20 HRS/WEEK, 0 DURING NORMAL TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Amy Banister Howell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Banister Howell'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
August 24, 2022 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603RIA
BD
CRD#: 44430
Raleigh, NC
Current
August 24, 2022 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603RIA
BD
CRD#: 44430
Raleigh, NC
Past
January 28, 2016 - August 19, 2022
CAPITAL INVESTMENT BROKERAGE, INC.
BD
CRD#: 40657
RALEIGH, NC
Past
January 2, 2013 - August 19, 2022
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
RIA
CRD#: 149124
RALEIGH, NC
Past
January 17, 2008 - December 31, 2012
CIC ADVISERS, LLC
RIA
CRD#: 130735
RALEIGH, NC
Past
December 7, 2007 - August 19, 2022
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
RALEIGH, NC
Past
June 6, 2007 - November 14, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
RALEIGH, NC
Past
February 6, 2007 - November 14, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
RALEIGH, NC
Past
September 23, 2005 - February 5, 2007
CAPITAL INVESTMENT GROUP, INC.
BD
CRD#: 14752
WHITEVILLE, NC
Past
January 25, 2000 - March 13, 2001
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
RALEIGH, NC
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
RR
Alabama(8/24/2022)
RR
Arizona(8/24/2022)
RR
Arkansas(8/24/2022)
RR
California(8/24/2022)
RR
Colorado(8/24/2022)
RR
Connecticut(8/24/2022)
RR
Delaware(8/24/2022)
RR
District of Columbia(8/24/2022)
RR
Florida(8/24/2022)
RR
Georgia(8/24/2022)
RR
Illinois(8/24/2022)
RR
Indiana(8/24/2022)
RR
Kansas(8/24/2022)
RR
Kentucky(8/24/2022)
RR
Louisiana(8/24/2022)
RR
Maine(8/24/2022)
RR
Maryland(8/24/2022)
RR
Massachusetts(8/24/2022)
RR
Michigan(8/24/2022)
RR
Minnesota(8/24/2022)
RR
Mississippi(8/24/2022)
RR
Missouri(8/24/2022)
RR
Montana(8/24/2022)
RR
Nebraska(8/24/2022)
RR
Nevada(8/24/2022)
RR
New Hampshire(8/24/2022)
RR
New Jersey(8/24/2022)
RR
North Carolina(8/24/2022)
IAR
North Carolina(8/24/2022)
RR
Ohio(8/24/2022)
RR
Oklahoma(8/29/2022)
RR
Oregon(8/24/2022)
RR
Pennsylvania(8/24/2022)
RR
South Carolina(8/24/2022)
RR
Tennessee(8/24/2022)
RR
Texas(8/24/2022)
RR
Virginia(8/24/2022)
RR
Washington(8/24/2022)
RR
West Virginia(8/24/2022)
RR
Wisconsin(8/24/2022)
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
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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)
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.
Company Information
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430Raleigh, NC 27603TRUST BUT VERIFY
Monitor Amy Howell
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
