Gustavo Arce
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.
Gustavo Arce, who also goes by Gustavo A Arce, Gustavo Adolfo Arce, was a registered financial professional .
Gustavo is a previously registered financial professional and started their career in finance in 2002. Gustavo had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2025 - November 3, 2025
FIRST CITIZENS INVESTOR SERVICES, INC.
January 12, 2024 - November 3, 2025
FIRST CITIZENS INVESTOR SERVICES, INC.
August 31, 2021 - July 29, 2022
SVB INVESTMENT SERVICES INC.
August 27, 2021 - December 31, 2023
SVB INVESTMENT SERVICES INC.
August 6, 2021 - November 3, 2025
SVB WEALTH
March 21, 2013 - July 28, 2021
BESSEMER INVESTOR SERVICES, INC.
September 19, 2012 - March 6, 2013
UNITED CAPITAL FINANCIAL ADVISORS
September 5, 2012 - March 5, 2013
GIRARD SECURITIES, INC.
April 25, 2011 - June 14, 2012
GOLDMAN SACHS WEALTH SERVICES, L.P.
November 1, 2010 - June 14, 2012
MERCER ALLIED COMPANY, L.P.
February 1, 2005 - June 20, 2006
CHASE INVESTMENT SERVICES CORP.
January 26, 2005 - June 20, 2006
CHASE INVESTMENT SERVICES CORP.
February 19, 2004 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
February 19, 2004 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
January 30, 2003 - May 16, 2003
METROPOLITAN LIFE INSURANCE COMPANY
January 30, 2003 - May 16, 2003
MSI FINANCIAL SERVICES, INC.
March 5, 2002 - February 3, 2003
WADDELL & REED
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
Exams
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.
