JS
Jamie G. Smothers
FIRST CITIZENS INVESTOR SERVICES
Greensboro, NC 27408
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CRD#: 5092376
JS
Professional summary
Jamie Gayle Smothers, CFP®, who also goes by Jamie Gayle Trout, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Greensboro, North Carolina.
Jamie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Jamie has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jamie Gayle Trout
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.
Peak Property Management LLC, 3419 Garrick Trace, Browns Summit, NC 27214. Nature of business is to purchase, repair and flip or rent out homes. Position is Member/Manager is M. Hunter and Jamie Smothers Living Trust dated January 21, 2020 (Husband Matthew Hunter Smothers and myself are Trustees of the Trust and manage the LLC. Activity began 10/8/2015. 10 hours/month, 0 hours/month during trading hours. Is investment related. Duties are to purchase homes, make repairs to home, find renter. manage rent payment, manage home concerns, possibly sell homes or rent home. Services offered are repairs and managing for renters. Compensation: Income from the Rent of the tenants, minus expenses for upkeep, HOA, taxes, and insurance. I not a client of the firm.
CRS (Client Relationship Summary) - RIA
Click below to view Jamie Gayle Smothers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jamie Gayle Smothers'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: 2010
Experience
Current
September 27, 2006 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 1414 West Northwood Street, Greensboro, NC 27408RIA
BD
CRD#: 44430
Greensboro, NC
Current
September 27, 2006 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 1414 West Northwood Street, Greensboro, NC 27408RIA
BD
CRD#: 44430
Greensboro, NC
Past
April 10, 2006 - September 20, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HIGH POINT, NC
Past
March 21, 2006 - September 20, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HIGH POINT, 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
California(3/14/2017)
RR
Florida(1/7/2015)
RR
Kentucky(1/8/2024)
RR
New York(5/17/2019)
RR
North Carolina(9/27/2006)
IAR
North Carolina(9/27/2006)
RR
South Carolina(10/19/2006)
RR
Tennessee(8/12/2019)
RR
Virginia(3/4/2015)
RR
Washington(10/17/2025)
RR
West Virginia(10/12/2023)
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#: 44430Greensboro, NC 27408TRUST BUT VERIFY
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