RJ
Robert C. Johnson
FIRST CITIZENS ASSET MANAGEMENT,
Charlotte, NC 28202
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CRD#: 5550457
RJ
Professional summary
Robert Charles Johnson Jr., who also goes by Robert C Johnson, Robert Charles Johnson, is a registered financial advisor currently at FIRST CITIZENS ASSET MANAGEMENT, INC located in Charlotte, North Carolina and FIRST CITIZENS INVESTOR SERVICES, INC. located in Charlotte, North Carolina.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Robert has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert C Johnson | Robert Charles Johnson
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. RATE Properties/RATE PA Properties: 8105 Early Bird Way, Mint Hill, NC 28227. Real Estate Rehab and Rentals. Position is Owner. Duties are to keep properties that I own occupied with tenants and maintenance upkeep. Also occasional rehabbing and flipping. Began 10/1/2018. 4 hrs/month, 0 hrs/month during trading hours. Not investment related. Not a client of the Firm. Compensation is rent/spread from buy/sells of properties. 2. First Citizens Asset Management, Inc. 1230 Main St., Columbia, SC 29201. Nature of business is an Investment Advisor. Position is Regional Brokerage Manager. Duties are to supervise Financial Consultants. Began 7/14/2020. 16 hours/week all during trading hours. It is investment related. Not a client of the Firm.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Charles Johnson Jr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Charles Johnson Jr.'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
July 8, 2020 - Present
FIRST CITIZENS ASSET MANAGEMENT, INC
Office #1: 128 South Tryon St., Charlotte, NC 28202RIA
CRD#: 140777
Charlotte, NC
Current
July 8, 2020 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 128 S Tryon Street, Charlotte, NC 28202RIA
BD
CRD#: 44430
CHARLOTTE, NC
Current
July 8, 2020 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 128 S Tryon Street, Charlotte, NC 28202RIA
BD
CRD#: 44430
CHARLOTTE, NC
Past
July 28, 2011 - May 23, 2019
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CHARLOTTE, NC
Past
September 21, 2010 - May 23, 2019
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CHARLOTTE, NC
Past
December 8, 2009 - August 4, 2010
WADDELL & REED
BD
CRD#: 866
MONROEVILLE, PA
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 INVESTOR SERVICES, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
RIA
Registered Investment Advisory firm - SEC (2/22/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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(7/8/2020)
RR
Alaska(7/8/2020)
RR
Arizona(7/8/2020)
RR
Arkansas(7/8/2020)
RR
California(7/8/2020)
RR
Colorado(7/8/2020)
RR
Connecticut(7/8/2020)
RR
Delaware(3/10/2023)
RR
District of Columbia(7/8/2020)
RR
Florida(7/8/2020)
RR
Georgia(7/8/2020)
RR
Idaho(12/8/2021)
RR
Illinois(7/8/2020)
RR
Indiana(7/8/2020)
RR
Iowa(7/8/2020)
RR
Kansas(7/8/2020)
RR
Kentucky(7/8/2020)
RR
Louisiana(7/8/2020)
RR
Maine(7/8/2020)
RR
Maryland(7/8/2020)
RR
Massachusetts(8/4/2021)
RR
Michigan(7/8/2020)
RR
Minnesota(10/4/2021)
RR
Mississippi(7/8/2020)
RR
Missouri(10/13/2021)
RR
Montana(5/9/2023)
RR
Nevada(7/8/2020)
RR
New Jersey(7/8/2020)
RR
New Mexico(6/9/2021)
RR
New York(7/8/2020)
IAR
North Carolina(7/8/2020)
RR
North Carolina(7/9/2020)
RR
North Dakota(7/8/2020)
RR
Ohio(7/8/2020)
RR
Oklahoma(7/8/2020)
RR
Oregon(7/8/2020)
RR
Pennsylvania(7/8/2020)
RR
South Carolina(7/8/2020)
RR
South Dakota(7/8/2020)
RR
Tennessee(7/8/2020)
RR
Texas(7/8/2020)
RR
Utah(7/8/2020)
RR
Vermont(7/8/2020)
RR
Virgin Islands(4/9/2021)
RR
Virginia(7/8/2020)
RR
Washington(8/17/2021)
RR
West Virginia(7/8/2020)
RR
Wyoming(7/8/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FIRST CITIZENS INVESTOR SERVICES, INC.
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
RIA
Registered Investment Advisory firm - SEC (2/22/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
8540 Colonnade Center Drive, Raleigh, NC 27615-3052
Mailing Address
P.o. Box 27131, Raleigh, NC 27611-7131
Phone number
(919) 986-3546
Established
North Carolina since 01/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
322
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 |
|---|---|---|
| 01/13/2025 |
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.
