SD
Spencer K. Dean
FIRST CITIZENS ASSET MANAGEMENT
Atlanta, GA 30339
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CRD#: 5369457
SD
Professional summary
Spencer K Dean is a registered financial advisor currently at FIRST CITIZENS ASSET MANAGEMENT, INC located in Atlanta, Georgia and FIRST CITIZENS INVESTOR SERVICES, INC. located in Atlanta, Georgia.
Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Spencer has worked at 5 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Spencer K Dean'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
January 23, 2017 - Present
FIRST CITIZENS ASSET MANAGEMENT, INC
Office #1: 3300 Cumberland Blvd Se, Atlanta, GA 30339RIA
CRD#: 140777
Atlanta, GA
Current
April 19, 2016 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 3300 Cumberland Blvd Se, Atlanta, GA 30339RIA
BD
CRD#: 44430
Atlanta, GA
Past
April 25, 2016 - December 21, 2016
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
Atlanta, GA
Past
May 9, 2014 - April 4, 2016
PNC CAPITAL ADVISORS LLC
RIA
CRD#: 151829
ATLANTA, GA
Past
January 17, 2014 - April 4, 2016
FORESIDE DISTRIBUTION SOLUTIONS, LLC
BD
CRD#: 118787
ATLANTA, GA
Past
December 11, 2007 - September 9, 2010
NYLIFE SECURITIES LLC
BD
CRD#: 5167
ATLANTA, GA
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 ASSET MANAGEMENT, INC
FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.
CRD#: 140777 / SEC#: 801-79917
RIA
Registered Investment Advisory firm - (6/19/2014 Approved)Arkansas
Registered Investment Advisory firm - (12/22/2014 Terminated)Georgia
Registered Investment Advisory firm - (3/21/2017 Terminated)North Carolina
Registered Investment Advisory firm - (3/22/2017 Terminated)Rhode Island
Registered Investment Advisory firm - (3/24/2017 Terminated)South Carolina
Registered Investment Advisory firm - (7/15/2014 Terminated)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
Georgia(4/19/2016)
IAR
Georgia(1/23/2017)
RR
South Carolina(4/19/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FIRST CITIZENS ASSET MANAGEMENT, INC
FIRST CITIZENS ASSET MANAGEMENT, INC | FIRST CITIZENS CAPITAL MANAGEMENT, INC.
CRD#: 140777 / SEC#: 801-79917
RIA
Registered Investment Advisory firm - (6/19/2014 Approved)Arkansas
Registered Investment Advisory firm - (12/22/2014 Terminated)Georgia
Registered Investment Advisory firm - (3/21/2017 Terminated)North Carolina
Registered Investment Advisory firm - (3/22/2017 Terminated)Rhode Island
Registered Investment Advisory firm - (3/24/2017 Terminated)South Carolina
Registered Investment Advisory firm - (7/15/2014 Terminated)PREMIUM
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Contact information
Main Address
8540 Colonnade Center Drive, Raleigh, NC 27615
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(800) 229-0205
Established
Firm type
Fiscal year end
# of Employees
53
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 409 |
| AUM (Assets Under Management) | $ 167,013,742 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2026 | ||
| 01/13/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIRST CITIZENS ASSET MANAGEMENT, INC
CRD#: 140777Atlanta, GA 30339TRUST BUT VERIFY
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