JW
James N. Whitt
FIRST CITIZENS INVESTOR SERVICES
Summerville, SC 29483
Some features on this profile are disabled
CRD#: 5992417
JW
Professional summary
James N Whitt, who also goes by Jamie Whitt, James Nelson Whitt, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Summerville, South Carolina and FIRST CITIZENS ASSET MANAGEMENT, INC located in Summerville, South Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. James has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jamie Whitt | James Nelson Whitt
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.
First Citizens Asset Management 4300 Six Forks Rd. Raleigh, NC 27609 Investment Advisor 16 hours/month Yes investment related, duties are asset management for clients of FCIS in advisory accounts Compensation is part of salary paid by FCIS, no direct compensation from FCAM. Organization is not a client of FCB or FCIS.
CRS (Client Relationship Summary) - RIA
Click below to view James N Whitt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James N Whitt'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
September 7, 2022 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 218 South Main Street, Summerville, SC 29483RIA
BD
CRD#: 44430
Summerville, SC
Current
October 19, 2022 - Present
FIRST CITIZENS ASSET MANAGEMENT, INC
Office #1: 218 South Main St., Summerville, SC 29483RIA
CRD#: 140777
Summerville, SC
Current
September 7, 2022 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 218 South Main Street, Summerville, SC 29483RIA
BD
CRD#: 44430
Summerville, SC
Past
August 13, 2018 - August 31, 2022
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Goose Creek, SC
Past
August 13, 2018 - August 31, 2022
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Goose Creek, SC
Past
July 25, 2013 - August 14, 2018
SORRENTO PACIFIC FINANCIAL, LLC
RIA
CRD#: 127787
OAK RIDGE, NC
Past
July 25, 2013 - August 14, 2018
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
OAK RIDGE, NC
Past
May 23, 2013 - August 12, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
HUNTINGTON, WV
Past
May 20, 2013 - August 12, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
FAIRFIELD, IA
Past
February 15, 2012 - December 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HUNTINGTON, WV
Past
January 1, 2012 - December 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HUNTINGTON, WV
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
Florida(10/31/2022)
RR
Indiana(9/8/2022)
RR
New Jersey(9/8/2022)
RR
North Carolina(9/9/2022)
RR
South Carolina(9/7/2022)
IAR
South Carolina(9/7/2022)
RR
Texas(9/15/2025)
RR
Virginia(2/24/2025)
RR
West Virginia(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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 27615-3052
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.
Company Information
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430Summerville, SC 29483TRUST BUT VERIFY
Monitor James Whitt
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
