Jerry R. Kimbrell

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CRD#: 4386984

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.

Jerry Roach Kimbrell, who also goes by Jerry Roach, was a registered financial professional .

Jerry is a previously registered financial professional and started their career in finance in 2001. Jerry had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jerry Roach

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.

First Citizens Asset Management; Nature of business is a Registered Investment Advisor; 4300 Six Forks Rd, Raleigh NC, 27609; Began 06/11/2021; Registered Brokerage Sales Assistant; 10 hours/month during trading hours. Investment Related; Duties are to assist Financial Consultant with service on accounts; Compensation is part of salary paid by FCIS. No direct compensation received from FCAM. Business is not a client of the Firm.

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 18, 2021 - July 8, 2025

FIRST CITIZENS ASSET MANAGEMENT, INC

RIA

CRD#: 140777

Lancaster, SC

Past

May 11, 2021 - July 8, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

Lancaster, SC

Past

January 4, 2016 - July 8, 2025

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

Lancaster, SC

Past

October 19, 2006 - January 4, 2016

FIRST CITIZENS SECURITIES CORPORATION

CRD#: 140161

LANCASTER, SC

Past

December 21, 2001 - November 1, 2006

FIRST CITIZENS INVESTOR SERVICES, INC.

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".

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.

CRD#: 140777 / SEC#: 801-79917

RIA

Registered Investment Advisory firm - (6/19/2014 Approved)

Arkansas

Registered Investment Advisory firm - (12/22/2014 Terminated)

Georgia

Registered Investment Advisory firm - (3/21/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2017 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/24/2017 Terminated)

South Carolina

Registered Investment Advisory firm - (7/15/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 66

Date: 5/10/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/23/2002

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: 10/15/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FIRST CITIZENS ASSET MANAGEMENT, INC

FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.

CRD#: 140777 / SEC#: 801-79917

RIA

Registered Investment Advisory firm - (6/19/2014 Approved)

Arkansas

Registered Investment Advisory firm - (12/22/2014 Terminated)

Georgia

Registered Investment Advisory firm - (3/21/2017 Terminated)

North Carolina

Registered Investment Advisory firm - (3/22/2017 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/24/2017 Terminated)

South Carolina

Registered Investment Advisory firm - (7/15/2014 Terminated)

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Contact information

Main Address

8540 Colonnade Center Drive, Raleigh, NC 27615

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(800) 229-0205

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FCAM FIRM BROCHURE (3/31/2025)

FCAM WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	409
AUM (Assets Under Management)	$ 167,013,742

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

Jerry R. Kimbrell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS SECURITIES CORPORATION

FIRST CITIZENS INVESTOR SERVICES, INC.

Primary Firm SEC Registration

FIRST CITIZENS ASSET MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/10/2021

Series 63

Date: 1/23/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2002

Series 6

Date: 12/20/2001

Current Firm

FIRST CITIZENS ASSET MANAGEMENT, INC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS ASSET MANAGEMENT, INC

TRUST BUT VERIFY

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