Joshua L. Alford

FIRST CITIZENS INVESTOR SERVICES

Raleigh, NC 27603

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CRD#: 6961600

Professional summary

Joshua Luke Alford, who also goes by Joshua Alford, Joshua Luke Alford, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Joshua has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua Alford | Joshua Luke Alford

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.

VETBIZ LLC POSITION: Owner/Co-Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/06/2024 ADDRESS: 2001 Muirfield Village Way, Raleigh NC 27604, United States DESCRIPTION: Created LLC for my rental property for added protection.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Luke Alford's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joshua Luke Alford'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

February 25, 2022 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603

RIA

CRD#: 44430

Raleigh, NC

Current

February 25, 2022 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 100 East Tryon Road Mail Code: Dac19, Raleigh, NC 27603

RIA

CRD#: 44430

Raleigh, NC

Past

March 23, 2022 - March 28, 2022

FIRST CITIZENS ASSET MANAGEMENT, INC

RIA

CRD#: 140777

Raleigh, NC

Past

August 20, 2021 - January 21, 2022

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

DURHAM, NC

Past

August 13, 2021 - January 12, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DURHAM, NC

Past

December 16, 2020 - June 4, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

RALEIGH, NC

Past

August 21, 2020 - June 4, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

RALEIGH, 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".

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

Alabama
(2/25/2022)

Alaska
(2/25/2022)

Arizona
(2/25/2022)

Arkansas
(2/25/2022)

California
(2/25/2022)

Colorado
(2/25/2022)

Connecticut
(2/25/2022)

Delaware
(2/25/2022)

District of Columbia
(2/25/2022)

Florida
(2/25/2022)

Georgia
(2/25/2022)

Hawaii
(2/25/2022)

Idaho
(2/25/2022)

Illinois
(2/25/2022)

Indiana
(2/25/2022)

Iowa
(2/25/2022)

Kansas
(2/25/2022)

Kentucky
(2/25/2022)

Louisiana
(2/25/2022)

Maine
(2/25/2022)

Maryland
(2/25/2022)

Massachusetts
(2/25/2022)

Michigan
(2/25/2022)

Minnesota
(2/25/2022)

Mississippi
(2/25/2022)

Missouri
(2/25/2022)

Montana
(2/25/2022)

Nebraska
(2/25/2022)

Nevada
(2/25/2022)

New Hampshire
(2/25/2022)

New Jersey
(2/25/2022)

New Mexico
(2/25/2022)

New York
(2/25/2022)

IAR

North Carolina
(2/25/2022)

North Carolina
(2/28/2022)

North Dakota
(2/25/2022)

Ohio
(2/25/2022)

Oklahoma
(2/25/2022)

Oregon
(2/25/2022)

Pennsylvania
(2/25/2022)

Puerto Rico
(2/25/2022)

Rhode Island
(2/25/2022)

South Carolina
(2/25/2022)

South Dakota
(2/25/2022)

Tennessee
(2/25/2022)

Texas
(2/25/2022)

Utah
(2/25/2022)

Vermont
(2/25/2022)

Virgin Islands
(2/25/2022)

Virginia
(2/25/2022)

Washington
(2/25/2022)

West Virginia
(2/25/2022)

Wisconsin
(2/25/2022)

Wyoming
(2/25/2022)

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: 12/7/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/21/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/13/2020

Securities Industry Essentials 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

Joshua L. Alford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Luke Alford's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joshua Luke Alford's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS ASSET MANAGEMENT, INC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/7/2020

Series 7TO

Date: 8/21/2020

SIE

Date: 3/13/2020

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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