Robin J. Carruthers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robin J Carruthers was a registered financial professional .
Robin is a previously registered financial professional and started their career in finance in 2006. Robin had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2015 - February 18, 2016
FIRST CITIZENS SECURITIES CORPORATION
November 3, 2015 - March 6, 2017
FIRST CITIZENS INVESTOR SERVICES, INC.
April 23, 2007 - November 3, 2015
FIRST CITIZENS SECURITIES CORPORATION
July 24, 2006 - January 10, 2007
A. G. EDWARDS & SONS, INC.
July 11, 2006 - January 10, 2007
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST CITIZENS SECURITIES CORPORATION
CRD#: 140161 / SEC#: , 8-67287
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST, INC. | PARENT | |
| BRYANT, SHARON WALTERS | DIRECTOR | 2251221 |
| HARRIS, BARRY PALMER IV | DIRECTOR | 1965172 |
| SPIRES, ROBERT EDWARD JR | DIRECTOR; DIRECTOR OF COMPLIANCE & OPERATIONS; FINOP; CCO; CFO | 2311376 |
| WALKER, KEITH WILLIAM | PRESIDENT | 2690232 |
| WILLINGHAM, EDWARD LEE IV | DIRECTOR | 5667294 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR | 4301352 |
Red Flags
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