Catalina Borrero

FIRST CITIZENS INVESTOR SERVICES

New York, NY 10036

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CRD#: 4945363

Professional summary

Catalina Borrero, who also goes by Catalina Borrero Vallejo, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in New York, New York.

Catalina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Catalina has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Catalina Borrero Vallejo

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 Catalina Borrero's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Catalina Borrero'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

October 10, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 11 West 42nd Street, New York, NY 10036

RIA

CRD#: 44430

New York, NY

Current

July 10, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 11 West 42nd Street, New York, NY 10036

RIA

CRD#: 44430

New York, NY

Past

June 22, 2021 - September 22, 2021

MORGAN STANLEY

RIA

CRD#: 149777

New York, NY

Past

May 14, 2018 - September 22, 2021

MORGAN STANLEY

CRD#: 149777

New York, NY

Past

May 31, 2016 - May 15, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

October 4, 2012 - May 6, 2016

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

August 7, 2012 - May 6, 2016

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 15, 2012 - June 27, 2012

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

September 22, 2008 - March 20, 2012

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 21, 2007 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 6, 2005 - August 16, 2007

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

May 6, 2005 - July 13, 2005

FINACORP SECURITIES

CRD#: 41569

IRVINE, CA

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

IAR

New York
(10/10/2025)

New York
(10/14/2025)

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 66

Date: 10/9/2025

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/2/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/19/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/5/2005

General Securities 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

Catalina Borrero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catalina Borrero's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Catalina Borrero's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

J.P. MORGAN SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CANTOR FITZGERALD & CO.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

BARCLAYS CAPITAL INC.

FINACORP SECURITIES

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2025

Series 65

Date: 10/2/2012

Series 63

Date: 12/19/2005

Series 7TO

Date: 1/2/2024

SIE

Date: 10/1/2018

Series 7

Date: 5/5/2005

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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