DT
Dan R. Thomason
FIRST CITIZENS INVESTOR SERVICES
Durham, NC 27703
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CRD#: 4875650
DT
Professional summary
Dan Richardson Thomason III, who also goes by Dan Thomason, Richardson Thomason III, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Durham, North Carolina.
Dan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Dan has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Thomason | Richardson Thomason Iii
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.
1) Rental property-not investment related, Raleigh, NC, Owner, started March 2019, one hours per month, none during trading hours, approve home repairs and modifications for rental property managed by a third party. 2) Rental property-not investment related, Raleigh, NC, Owner, started January 2021, zero hours per month, none during trading hours, approve home repairs and modifications for rental property managed by a third party. 3) Rental property-not investment related, Southern Pines, NC, Owner, started August 2023, zero hours per month, none during trading hours, rental property managed by a third party.
CRS (Client Relationship Summary) - RIA
Click below to view Dan Richardson Thomason III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dan Richardson Thomason III'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
May 2, 2005 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 5417 Page Road, Durham, NC 27703RIA
BD
CRD#: 44430
Durham, NC
Current
May 2, 2005 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 5417 Page Road, Durham, NC 27703RIA
BD
CRD#: 44430
Durham, NC
Past
February 7, 2005 - May 9, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
RALEIGH, NC
Past
December 16, 2004 - May 9, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
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
Alabama(2/20/2024)
RR
Arkansas(2/15/2017)
RR
California(7/1/2019)
RR
Colorado(8/8/2012)
IAR
Colorado(4/5/2022)
RR
Connecticut(3/21/2023)
RR
District of Columbia(12/3/2014)
RR
Florida(8/5/2008)
RR
Georgia(10/11/2006)
RR
Illinois(5/20/2008)
IAR
Illinois(4/12/2022)
RR
Indiana(9/23/2015)
RR
Kansas(2/28/2020)
RR
Kentucky(2/15/2017)
RR
Massachusetts(10/14/2015)
RR
Michigan(8/12/2017)
RR
Missouri(1/31/2024)
RR
Nevada(2/15/2017)
RR
New Jersey(6/9/2021)
RR
New Mexico(9/5/2024)
RR
New York(1/13/2012)
RR
North Carolina(5/2/2005)
IAR
North Carolina(5/2/2005)
RR
Oregon(11/29/2021)
RR
Pennsylvania(1/12/2016)
RR
South Carolina(10/27/2008)
IAR
South Carolina(4/6/2022)
RR
South Dakota(8/26/2025)
RR
Tennessee(12/16/2019)
RR
Texas(8/21/2013)
IAR
Texas(10/6/2017)
RR
Virginia(1/24/2007)
IAR
Virginia(4/5/2022)
RR
Washington(2/15/2017)
RR
Wisconsin(8/12/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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)
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.
Company Information
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430Durham, NC 27703TRUST BUT VERIFY
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