Benjamin M. Treadwell
Professional summary
Benjamin Michael Treadwell, who also goes by Ben Treadwell, is a registered financial professional currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Imperial Beach , California.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2001. Benjamin has worked at 9 firms and has passed the Series 66, Series 99TO, Series 52TO, Series 79TO, SIE, Series 55, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Michael Treadwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
June 7, 2022 - February 1, 2024
D.A. DAVIDSON & CO.
June 7, 2010 - April 27, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
August 22, 2007 - January 25, 2022
LPL FINANCIAL LLC
October 16, 2006 - June 1, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
January 26, 2004 - October 2, 2006
CARIS & COMPANY, INC.
August 27, 2003 - January 27, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
August 14, 2002 - September 24, 2003
CUSO FINANCIAL SERVICES, L.P.
August 14, 2002 - September 24, 2003
CUSO FINANCIAL SERVICES, L.P.
September 14, 2001 - November 5, 2001
IDS LIFE INSURANCE COMPANY
September 14, 2001 - November 5, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
(8/6/2025)
Exams
Series 99TO
Date: 2/23/2024
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 8/11/2003
Limited Representative-Equity Trader ExamFINRA
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 |
|---|---|---|
| 01/30/2026 | ||
| 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.
