Emmitt Smith

FIRST CITIZENS INVESTOR SERVICES

Alpharetta, GA 30022

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CRD#: 5901636

Professional summary

Emmitt Smith Jr, who also goes by Emmitt Smith Jr, Emmitt Smith, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Alpharetta, Georgia.

Emmitt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Emmitt has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emmitt Smith Jr | Emmitt Smith

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) 05/2023 - M & T Bank / Financial Institution Duty / Investment Related / Atlanta, GA / Start 05/15/2023 - 160 Hrs per month 2) 05/2023 - Wilmington Advisors at M&T / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emmitt Smith Jr's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Emmitt Smith Jr's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 16, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 10865 Haynes Bridge Road, Alpharetta, GA 30022

RIA

CRD#: 44430

Alpharetta, GA

Current

July 15, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 10865 Haynes Bridge Road, Alpharetta, GA 30022

RIA

CRD#: 44430

Alpharetta, GA

Past

June 2, 2023 - February 12, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

ATLANTA, GA

Past

May 31, 2023 - February 12, 2024

LPL FINANCIAL LLC

CRD#: 6413

ATLANTA, GA

Past

January 29, 2021 - March 2, 2023

DOMINARI SECURITIES LLC

RIA

CRD#: 18975

Atlanta, GA

Past

January 28, 2021 - March 2, 2023

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

May 2, 2017 - January 11, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ATLANTA, GA

Past

April 28, 2017 - January 11, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ATLANTA, GA

Past

June 3, 2014 - December 31, 2016

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BALTIMORE, MD

Past

June 3, 2014 - December 31, 2016

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BALTIMORE, MD

Past

October 25, 2011 - November 18, 2013

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

LAUREL, MD

Past

July 13, 2011 - November 18, 2013

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

LAUREL, MD

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".

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

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.

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

Georgia
(7/15/2025)

IAR

Georgia
(7/16/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/24/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FCIS FIRM BROCHURE (11/18/2025)

FCIS WRAP BROCHURE (11/18/2025)

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	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Emmitt Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emmitt Smith Jr's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Emmitt Smith Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

DOMINARI SECURITIES LLC

DOMINARI SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/24/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/12/2011

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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