SB
Stacy H. Bortle
FIRST CITIZENS INVESTOR SERVICES
CHARLOTTE, NC 28202
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CRD#: 5731633
SB
Professional summary
Stacy H Bortle, who also goes by Stacy D Hawkins, Stacy Denise Hawkins, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Charlotte, North Carolina.
Stacy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Stacy has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacy D Hawkins | Stacy Denise Hawkins
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) Poshmark; not investment-related; works from home; online resale site to sell small used items; app user; 8/12/22; 1 hour per weekend; none during trading hours; basically an online garage sale, no items are purchased with the intent to sell 2) Herbalife Nutrition; not investment-related; conducted via her home; distributorship for nutrition products; independent distributor; 11/14/2022;1 hours/month devoted to the other business; 0 during securities trading hours; order products as needed for myself or friends and family 2) FIRST CITIZENS ASSET MANAGEMENT, INC. POSITION: Employee NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/25/2025 ADDRESS: 8540 Colonnade Center Drive, Raleigh NC 27615, United States DESCRIPTION: Registered Investment Advisor 3) SVBW WEALTH, LLC POSITION: Employee NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/25/2025 ADDRESS: 53 State Street, 28th Floor, Boston MA 02109, United States DESCRIPTION: SVB Wealth LLC is a wholly owned subsidiary of First Citizens Bank & Trust and an affiliate of First Citizens Investor Services and First Citizens Asset Management.
CRS (Client Relationship Summary) - RIA
Click below to view Stacy H Bortle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stacy H Bortle'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
May 24, 2022 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 128 S Tryon Street, Charlotte, NC 28202RIA
BD
CRD#: 44430
CHARLOTTE, NC
Current
May 16, 2022 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 128 S Tryon Street, Charlotte, NC 28202RIA
BD
CRD#: 44430
CHARLOTTE, NC
Past
August 17, 2018 - February 26, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
JACKSON, MS
Past
August 15, 2018 - February 26, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
JACKSON, MS
Past
July 7, 2014 - March 14, 2018
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
SAN ANTONIO, TX
Past
June 25, 2014 - March 14, 2018
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
Past
June 19, 2013 - April 29, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SAN ANTONIO, TX
Past
May 20, 2010 - April 29, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SAN ANTONIO, TX
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
North Carolina(5/16/2022)
IAR
North Carolina(5/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
