FP
Frances K. Pumphrey
FIRST CITIZENS INVESTOR SERVICES
Lincolnton, NC 28092
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CRD#: 5070180
FP
Professional summary
Frances Kay Pumphrey, who also goes by Frances Kay Posey, Kay Pumphrey, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Lincolnton, North Carolina.
Frances is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Frances has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frances Kay Posey | Kay Pumphrey
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) KAY FARMILY AND FRIENDS. 520 BLOSSOM HILL RD., LINCOLNTON, NC 28092. NON-INVESTMENT RELATED. OWNDER OF THE BUSINESS; BLUEGRASS GOSPEL GROUP. FREE WILL OFFERINGS AND SALES FROM CD'S RECORDED. DUTIES ARE SINGER IN THE BAND, RECORD KEEPING. START DATE 4/17/15. 24 HOURS/MONTH, 0 DURING TRADING HOURS. 2) CHARLES E & FRANCES K PUMPHREY POSITION: Owner/Co-Owner NATURE: Selling a home I own to my daughter and son-in-law, through owner financing for a 30 year term. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 9 START DATE: 07/31/2024 ADDRESS: 512 Blossom Hill Rd, Lincolnton NC 28092, United States DESCRIPTION: We're selling a home we own at 512 Blossom Hill Rd Lincolnton, NC 28092 to our daughter, Julie A Tucker, and son-in-law, Joshua Tucker. We will be financing the home for them, as owner financing, over a 30 year term. 3) CHARLES E & FRANCES K PUMPHREY POSITION: Owner/Co-Owner NATURE: Sell of home with owner financing. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2024 ADDRESS: 520 Blossom Hill Rd, Lincolnton NC 28092, United States DESCRIPTION: We're selling our daughter, Jessica Smyre, and her fiance, Brandon Lucas, a home we own at 520 Blossom Hill Rd Lincolnton, NC 28092. The transaction will be done with us holding a promissory note on the property with a 30-year term.
CRS (Client Relationship Summary) - RIA
Click below to view Frances Kay Pumphrey's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frances Kay Pumphrey'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
July 31, 2017 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 425 E. Main Street, Lincolnton, NC 28092RIA
BD
CRD#: 44430
Lincolnton, NC
Current
September 24, 2007 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 425 E. Main Street, Lincolnton, NC 28092RIA
BD
CRD#: 44430
Lincolnton, NC
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(8/22/2024)
RR
Florida(6/18/2020)
RR
Georgia(2/14/2019)
RR
Indiana(3/18/2017)
RR
Kentucky(10/10/2024)
RR
Louisiana(2/14/2022)
RR
Mississippi(8/21/2024)
RR
North Carolina(11/7/2007)
IAR
North Carolina(7/31/2017)
RR
Pennsylvania(6/27/2023)
RR
Rhode Island(7/17/2019)
RR
South Carolina(6/2/2016)
RR
Virginia(3/18/2017)
RR
West Virginia(12/12/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
