Andrew C. Davis
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.
Andrew C Davis, who also goes by Andrew Christopher Davis, Drew Christopher Davis, Andrew Christopher Wellons, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2007. Andrew had worked at 6 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2025 - May 27, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
May 28, 2025 - May 27, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
March 17, 2023 - October 12, 2023
JLA SECURITIES, LLC
August 1, 2022 - November 3, 2023
ALLY INVEST ADVISORS
August 1, 2022 - November 3, 2023
ALLY INVEST SECURITIES LLC
March 27, 2017 - June 10, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2017 - June 10, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 2007 - August 6, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
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
Series 52TO
Date: 5/17/2023
Municipal Securities Representative ExaminationCurrent Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
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 |
|---|---|---|
| 01/30/2026 | ||
| 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.
