JC
James R. Carson
FIRST CITIZENS INVESTOR SERVICES
RALEIGH, NC 27615
Some features on this profile are disabled
CRD#: 5248661
JC
Professional summary
James Rutledge Carson III, who also goes by Rusty Carson, James Rutledge Carson, Rutledge Carson James III, Rutledge Carson James, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina and SVB WEALTH located in Charlotte, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. James has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rusty Carson | James Rutledge Carson | Rutledge Carson James Iii | Rutledge Carson James
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) Aspenview Technology Partners; 22056 Arbor Place Drive; Fort Mill SC 29707; Aspenview Technology provides technology services to US based companies through nearshore (Colombia) technology resources. This is a nearshore outsourcing company that focuses on helping companies create efficiencies in their technology resource spend by providing high quality near-shore tech resources. I am a 1099 sales person for the company offering Aspenview Technology nearshore technology resources on a contract basis to US companies. Began 12/01/2024; 4 hrs/month. 2) SVB WEALTH POSITION: Employee NATURE: SVB is an affiliated IA firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 06/30/2025 ADDRESS: 128 South Tryon Street, Charlotte NC 28202, United States DESCRIPTION: SVB Wealth is an affiliated IA firm 3) FIRST CITIZENS ASSET MANAGEMENT POSITION: Employee NATURE: FCAM is an affiliated IA Firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 06/30/2025 ADDRESS: 228 South Tryon Street, Charlotte NC 28202, United States DESCRIPTION: FCAM is an affilated IA firm 4) RUSTY'S RODS LLC POSITION: Owner/Co-Owner NATURE: Personal/Family Business (DBA, Family Farm, LLC, LLP, Sole Proprietorship, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2018 ADDRESS: 22056 Arbor Place Drive, Fort Mill SC 29707, United States DESCRIPTION: I am the sole proprietor of Rusty's Rods LLC. My home based business designs, builds and sells custom fishing rods.
CRS (Client Relationship Summary) - RIA
Click below to view James Rutledge Carson III'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
June 10, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
BD
CRD#: 44430
RALEIGH, NC
Current
September 16, 2025 - Present
SVB WEALTH
Office #1: 128 S Tryon St, Charlotte, NC 28202RIA
CRD#: 172832
Charlotte, NC
Current
June 10, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
BD
CRD#: 44430
RALEIGH, NC
Past
December 11, 2020 - December 15, 2023
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
CHARLOTTE, NC
Past
December 10, 2019 - December 15, 2023
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
CHARLOTTE, NC
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
April 14, 2014 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
CHARLOTTE, NC
Past
April 14, 2014 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CHARLOTTE, NC
Past
March 1, 2010 - July 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 11, 2010 - July 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHARLOTTE, NC
Past
May 21, 2007 - March 10, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CHARLOTTE, NC
Past
December 5, 2006 - March 10, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CHARLOTTE, 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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)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(6/10/2025)
RR
North Carolina(6/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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
SVB WEALTH
CRD#: 172832Raleigh, NC 27615TRUST BUT VERIFY
Monitor James Carson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
