AG
Alan W. Gray
FIRST CITIZENS INVESTOR SERVICES
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 4859469
AG
Professional summary
Alan W Gray is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Charlotte, North Carolina.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Alan has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 10 and Series 9 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.
Porter Ridge Athletic Association, PO Box 707, Indian Trail, NC 28079. Voluntary appointed position within local community's athletic association. President of the Board, begin 01/10/2021. 10 hours/month, 0 during trading hours. Non-Investment Related, duties include oversight of sports commissioners, enrollment, and expenses. Volunteer position. Family Holdings Group, LLC, non-investment related, 9720 Stirling Road, Suite 203, Cooper City, FL 33024. Real Estate holding company, Partner, 0 hours per month and 0 hours during securities trading hours, no responsibilities and income is distribution from investment. Began 06/17/2004. Union County Youth Soccer Not investment related No fixed address Organize and coordinate the Union County Youth Soccer Program Board President Began 6/1/2022 1 hour per month, 0 trading hours Meet twice per year to discuss changes to the soccer program
CRS (Client Relationship Summary) - RIA
Click below to view Alan W Gray's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan W Gray's 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®
NoneExperience
Current
August 25, 2017 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 6501 Carnegie Boulevard, Charlotte, NC 28211RIA
BD
CRD#: 44430
Charlotte, NC
Current
August 7, 2017 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 6501 Carnegie Boulevard, Charlotte, NC 28211RIA
BD
CRD#: 44430
Charlotte, NC
Past
September 7, 2017 - December 7, 2020
FIRST CITIZENS ASSET MANAGEMENT, INC
RIA
CRD#: 140777
Charlotte, NC
Past
October 4, 2011 - July 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
October 4, 2011 - July 31, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHARLOTTE, NC
Past
October 22, 2008 - September 1, 2011
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
LATHAM, NY
Past
October 3, 2006 - July 31, 2008
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
POMPANO BEACH, FL
Past
October 12, 2004 - July 31, 2006
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FT LAUDERDALE, FL
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".
FC
FIRST CITIZENS INVESTOR SERVICES, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
RIA
Registered Investment Advisory firm - SEC (2/22/2000 Approved)BD
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.RR
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
RR
Arizona(10/26/2020)
RR
Florida(8/14/2017)
RR
Georgia(8/14/2017)
RR
Maryland(5/13/2020)
RR
Michigan(8/14/2017)
RR
North Carolina(8/14/2017)
IAR
North Carolina(8/25/2017)
RR
Ohio(10/25/2024)
RR
South Carolina(8/7/2017)
RR
Virginia(10/24/2024)
RR
West Virginia(8/14/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FIRST CITIZENS INVESTOR SERVICES, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
RIA
Registered Investment Advisory firm - SEC (2/22/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
