Jeffrey P. Winneberger
Professional summary
Jeffrey Paul Winneberger, who also goes by Jeff Winneberger, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Richmond, Virginia.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Jeffrey has worked at 7 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Paul Winneberger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Paul Winneberger's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2019 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 6800 Paragon Place Suite 115, Richmond, VA 23230October 9, 2019 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 6800 Paragon Place Suite 115, Richmond, VA 23230August 11, 2016 - August 13, 2019
TRUIST ADVISORY SERVICES, INC.
August 2, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
August 2, 2016 - August 13, 2019
TRUIST INVESTMENT SERVICES, INC.
August 23, 2006 - June 30, 2015
BB&T INVESTMENT SERVICES, INC.
April 10, 2006 - June 30, 2015
BB&T INVESTMENT SERVICES, INC.
August 30, 2001 - November 10, 2001
EDWARD JONES
February 7, 2001 - August 22, 2001
MORGAN STANLEY DW INC.
January 1, 2001 - February 7, 2001
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/17/2023)
(3/17/2023)
(6/11/2020)
(5/26/2022)
(10/9/2019)
(10/9/2019)
Exams
FINRA
Current Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
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#: 44430Richmond, VA 23230TRUST BUT VERIFY
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