AZ
April M. Zee
FIRST CITIZENS INVESTOR SERVICES
Pasadena, CA 91103
Some features on this profile are disabled
CRD#: 4328252
AZ
Professional summary
April Michiko Zee, who also goes by April Michiko Nishimoto, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Pasadena, California.
April is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. April has worked at 7 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
April Michiko Nishimoto
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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Bld2 ste 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 3/8/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Financial planning and investment management and risk managementBusiness Name: Transitions Wealth Advisors Investment Related: Yes Address: 1100 Lincoln Ave Suite 241 San Jose CA 95125 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Financial Advisor Start Date: 3/8/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment and Wealth Planning
CRS (Client Relationship Summary) - RIA
Click below to view April Michiko Zee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view April Michiko Zee'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
October 5, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 75 N. Fair Oaks Ave Suite 400, Pasadena, CA 91103RIA
BD
CRD#: 44430
Pasadena, CA
Current
October 5, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 75 N. Fair Oaks Ave Suite 400, Pasadena, CA 91103RIA
BD
CRD#: 44430
Pasadena, CA
Past
March 3, 2021 - May 31, 2023
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
San Jose, CA
Past
March 3, 2021 - May 31, 2023
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
SAN JOSE, CA
Past
December 15, 2020 - February 10, 2021
D.A. DAVIDSON & CO.
RIA
CRD#: 199
LOS ANGELES, CA
Past
July 30, 2019 - February 10, 2021
D.A. DAVIDSON & CO.
BD
CRD#: 199
LOS ANGELES, CA
Past
January 3, 2011 - November 12, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PASADENA, CA
Past
January 3, 2011 - November 12, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PASADENA, CA
Past
March 2, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
PASADENA, CA
Past
February 22, 2007 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
PASADENA, CA
Past
August 31, 2001 - May 4, 2005
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
LOS ANGELES, CA
Past
May 2, 2001 - May 4, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
February 23, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
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
California(10/5/2023)
IAR
California(10/5/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/30/2019
General Securities Representative ExaminationGeneral 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.
