JP
James W. Plaster
FIRST CITIZENS INVESTOR SERVICES
Hendersonville, NC 28792
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CRD#: 4908869
JP
Professional summary
James Walton Plaster, CFP® is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Hendersonville, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. James has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 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.
MANAGER OF Rogers Run, LLC POSITION: MANAGER NATURE: AGENT INVESTMENT RELATED: NO NUMBER OF HOURS: 3 INVESTMENT RELATED HOURS: 0 START DATE: 01/01/2012 ADDRESS: 51 BROOKWOOD ROAD ASHEVILLE NC 28804 DESCRIPTION: ROGERS RUN, LLC CONSISTS OF ACREAGE IN EASTERN KENTUCKY (PIKE COUNTY) THAT HAS BEEN IN MY FAMILY SINCE THE 1920S.� ORIGINALLY, THERE WAS SIGNIFICANT COAL MINING PRODUCTION ON THE PROPERTY (PROPERTY WAS LEASED BY COAL COMPANIES TO EXTRACT THE COAL).� NOW, ALMOST ALL COAL HAS BEEN DEPLETED, AND CURRENT SOURCES OF INCOME ARE NATURAL GAS (FROM WELLS DRILLED ON THE PROPERTY) AND TIMBER HARVESTING.
CRS (Client Relationship Summary) - RIA
Click below to view James Walton Plaster's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Walton Plaster'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®
CFP®
Start date: 2007
Experience
Current
March 7, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 539 North Main St., Hendersonville, NC 28792RIA
BD
CRD#: 44430
Hendersonville, NC
Current
April 8, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 539 North Main St., Hendersonville, NC 28792RIA
BD
CRD#: 44430
Hendersonville, NC
Past
April 18, 2013 - February 15, 2024
ALTAMONT CAPITAL MANAGEMENT
RIA
CRD#: 118979
ASHEVILLE, NC
Past
January 29, 2009 - March 18, 2013
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
ASHEVILLE, NC
Past
January 26, 2009 - March 18, 2013
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
ASHEVILLE, NC
Past
May 12, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
ASHEVILLE, NC
Past
May 12, 2008 - December 31, 2008
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
ASHEVILLE, NC
Past
November 3, 2005 - April 30, 2008
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
ATLANTA, GA
Past
April 27, 2005 - April 30, 2008
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
ATLANTA, GA
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
IAR
North Carolina(3/7/2025)
RR
North Carolina(5/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2025
General Securities Representative ExaminationGeneral 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#: 44430Hendersonville, NC 28792TRUST BUT VERIFY
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