WB
William S. Blackwood
FIRST CITIZENS ASSET MANAGEMENT,
Raleigh, NC 27615
Some features on this profile are disabled
CRD#: 5448045
WB
Professional summary
William Sherwood Blackwood III, who also goes by William Sherwood Blackwood, is a registered financial advisor currently at FIRST CITIZENS ASSET MANAGEMENT, INC located in Raleigh, North Carolina and FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. William has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Sherwood Blackwood
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) First Citizens Asset Management, 1230 Main St., Columbia, SC 29201. Institutional Consultant, began 12/9/16. Compensation is part of salary paid by FCIS. No direct compensation is received from FCAM, Investment Related, 16 hours/month, 16 during trading hours. Sales and management of investment products.
CRS (Client Relationship Summary) - RIA
Click below to view William Sherwood Blackwood 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
January 12, 2017 - Present
FIRST CITIZENS ASSET MANAGEMENT, INC
Office #1: 8510 Colonnade Center Drive Suite 150, Raleigh, NC 27615RIA
CRD#: 140777
Raleigh, NC
Current
November 15, 2007 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
BD
CRD#: 44430
RALEIGH, NC
Past
February 27, 2008 - January 12, 2017
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
Raleigh, 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 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
Alabama(7/26/2017)
RR
Colorado(7/26/2017)
RR
Florida(7/26/2017)
RR
Georgia(7/26/2017)
RR
Indiana(7/26/2017)
RR
Kansas(7/26/2017)
RR
Maryland(7/26/2017)
RR
North Carolina(2/27/2008)
IAR
North Carolina(1/12/2017)
RR
South Carolina(1/13/2017)
RR
Texas(7/26/2017)
RR
Vermont(7/26/2017)
RR
Virginia(7/26/2017)
RR
West Virginia(7/26/2017)
RR
Wisconsin(7/26/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)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
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 (15 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 |
|---|---|---|
| 01/13/2025 |
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 ASSET MANAGEMENT, INC
CRD#: 140777Raleigh, NC 27615TRUST BUT VERIFY
Monitor William Blackwood
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
