JD
Jamie E. Dugo
FIRST CITIZENS INVESTOR SERVICES
Mooresville, NC 28117
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CRD#: 6774512
JD
Professional summary
Jamie Ellen Dugo is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Mooresville, North Carolina.
Jamie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Jamie has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Catawba County Planning Board Not investment related 100 Government Drive, Newton, NC 28658 Zoning and Planning Commission Member 1/1/2022 1-4 0 review and vote on zoning requests
CRS (Client Relationship Summary) - RIA
Click below to view Jamie Ellen Dugo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jamie Ellen Dugo'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
October 6, 2022 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 150 Williamson Road, Mooresville, NC 28117RIA
BD
CRD#: 44430
Mooresville, NC
Current
October 10, 2022 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 150 Williamson Road, Mooresville, NC 28117RIA
BD
CRD#: 44430
Mooresville, NC
Past
October 19, 2022 - October 19, 2022
FIRST CITIZENS ASSET MANAGEMENT, INC
RIA
CRD#: 140777
Mooresville, NC
Past
August 18, 2017 - September 30, 2022
EDWARD JONES
RIA
CRD#: 250
Mooresville, NC
Past
May 23, 2017 - September 30, 2022
EDWARD JONES
BD
CRD#: 250
Mooresville, 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 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
California(12/1/2022)
RR
Florida(1/15/2025)
RR
Illinois(1/3/2023)
RR
Michigan(1/27/2023)
IAR
North Carolina(10/6/2022)
RR
North Carolina(10/11/2022)
RR
South Carolina(4/13/2023)
RR
South Dakota(7/18/2024)
RR
Virginia(8/13/2025)
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)
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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.
Company Information
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430Mooresville, NC 28117TRUST BUT VERIFY
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