Craig D. Saurer

FIRST CITIZENS INVESTOR SERVICES

CHARLOTTE, NC 28202

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CRD#: 4529449

Professional summary

Craig Daniel Saurer is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Charlotte, North Carolina.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Craig has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Daniel Saurer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Craig Daniel Saurer's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 29, 2024 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 128 S Tryon Street, Charlotte, NC 28202

RIA

CRD#: 44430

CHARLOTTE, NC

Current

May 29, 2024 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 128 S Tryon Street, Charlotte, NC 28202

RIA

CRD#: 44430

CHARLOTTE, NC

Past

March 3, 2016 - April 11, 2024

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CHARLOTTE, NC

Past

March 3, 2016 - April 11, 2024

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

July 24, 2006 - October 19, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHARLOTTE, NC

Past

May 13, 2004 - October 19, 2015

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

May 10, 2002 - May 5, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

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 INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

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.

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

Alabama
(5/30/2024)

Alaska
(5/29/2024)

Arizona
(6/12/2024)

Arkansas
(6/10/2024)

California
(5/29/2024)

Colorado
(7/25/2024)

Connecticut
(5/29/2024)

Delaware
(6/4/2024)

District of Columbia
(6/6/2024)

Florida
(5/30/2024)

Georgia
(6/3/2024)

Hawaii
(5/31/2024)

Idaho
(5/29/2024)

Illinois
(6/21/2024)

Indiana
(5/30/2024)

Iowa
(5/31/2024)

Kansas
(5/29/2024)

Kentucky
(6/5/2024)

Louisiana
(5/30/2024)

Maine
(5/29/2024)

Maryland
(6/6/2024)

Massachusetts
(7/10/2024)

Michigan
(5/31/2024)

Minnesota
(5/30/2024)

Mississippi
(5/30/2024)

Missouri
(5/30/2024)

Montana
(6/6/2024)

Nebraska
(5/29/2024)

Nevada
(5/30/2024)

New Hampshire
(5/31/2024)

New Jersey
(5/29/2024)

New Mexico
(5/30/2024)

New York
(5/29/2024)

North Carolina
(5/29/2024)

IAR

North Carolina
(5/29/2024)

North Dakota
(6/3/2024)

Ohio
(5/29/2024)

Oklahoma
(5/30/2024)

Oregon
(5/30/2024)

Pennsylvania
(5/30/2024)

Puerto Rico
(6/11/2024)

Rhode Island
(5/30/2024)

South Carolina
(6/3/2024)

South Dakota
(6/5/2024)

Tennessee
(5/30/2024)

Texas
(5/30/2024)

Utah
(5/30/2024)

Vermont
(5/29/2024)

Virgin Islands
(5/30/2024)

Virginia
(6/4/2024)

Washington
(5/30/2024)

West Virginia
(5/30/2024)

Wisconsin
(6/4/2024)

Wyoming
(6/5/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/21/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/2002

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: 11/22/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/9/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FCIS FIRM BROCHURE (11/18/2025)

FCIS WRAP BROCHURE (11/18/2025)

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	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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Firm Stability Insights

Craig D. Saurer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Daniel Saurer's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Craig Daniel Saurer's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/21/2006

Series 63

Date: 5/17/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/22/2005

Series 6

Date: 5/9/2002

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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