Leigh Ann P. Rotz
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.
Leigh Ann Perry Rotz, who also goes by Leigh Ann Perry, Leigh Ann Rotz, Leigh Perry Rotz, was a registered financial professional .
Leigh Ann is a previously registered financial professional and started their career in finance in 2002. Leigh Ann had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, 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
July 12, 2017 - April 6, 2021
FIRST CITIZENS INVESTOR SERVICES, INC.
July 12, 2017 - April 6, 2021
FIRST CITIZENS INVESTOR SERVICES, INC.
July 20, 2015 - July 7, 2017
PNC WEALTH MANAGEMENT LLC
July 20, 2015 - July 7, 2017
PNC WEALTH MANAGEMENT LLC
June 15, 2010 - August 2, 2013
HATTERAS INVESTMENT PARTNERS LLC
June 15, 2010 - August 2, 2013
HATTERAS CAPITAL DISTRIBUTORS, LLC
February 3, 2003 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 15, 2002 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
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
Series 7TO
Date: 2/7/2024
General Securities Representative ExaminationCurrent 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.
