DS
Dillon E. Smith
FIRST CITIZENS ASSET MANAGEMENT,
RALEIGH, NC 27615
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CRD#: 7602212
DS
Professional summary
Dillon Edward Smith, who also goes by Dillon Edward Smith, Dillon Smith, is a registered financial advisor currently at FIRST CITIZENS ASSET MANAGEMENT, INC located in Raleigh, North Carolina and FIRST CITIZENS INVESTOR SERVICES, INC. located in Columbia , South Carolina.
Dillon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Dillon has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dillon Edward Smith | Dillon 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.
Billy Smith, Clarks Hill, SC 29821, non-investment related; Power of Attorney, Executor, Immediate Family (Father) Start date /01/2023 0 hr/month , POA for mom Name of the other businessKaren Smith Whether the business is investment-relatedNo Address of the other businessClarks Hill, SC 29821 Nature of the other businessPower of Attorney Your positionExecutor Title, or relationship with the other businessImmediate Family (Mother) Start date of your relationship06/01/2023 Approximate number of hours/month you devote to the other business0 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other businessPOA for mom Name of the other businessJennifer Smith Whether the business is investment-relatedNo Address of the other businessIrmo, SC 29063 Nature of the other businessPower of Attorney Your positionExecutor Title, or relationship with the other businessImmediate Family (Wife) Start date of your relationship06/04/2016 Approximate number of hours/month you devote to the other business0 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other businessPOA for Wife Name of the other businessRaegan Smith Whether the business is investment-relatedNo Address of the other business Irmo, SC 29063 Nature of the other businessPower of Attorney Your positionExecutor Title, or relationship with the other businessImmediate Family (Daughter) Start date of your relationship5/22/2021 Approximate number of hours/month you devote to the other business0 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business POA for Child I*: 2066315 Name of the other business Ashford Whether the business is investment-related No Address of the other business Irmo, SC 29063 Nature of the other business Homeowners Association for Ashford Your position Board Member - Vice President Start date of your relationship 06/01/2023 Approximate number of hours/month you devote to the other business10 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business : 1 of 5 Board Members for Ashford neighborhood. Oversee amenities and approve budget, updates, etc. I*: 2066310 Name of the other business Prisma Health Whether the business is investment-related No Address of the other business Lexington, SC 29072 Nature of the other business Athletic Training Services Your position Athletic Trainer Start date of your relationship12/1/2023 Approximate number of hours/month you devote to the other business10 Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business Provide Athletic Training services for athletic events. Events are selected through sign up as I am available or would like to pick up an event coverage opportunity. Services included but not limited to: taping/splinting, injury evaluation/management, emergency medical management, documentation, communication with parent/coaches. Decided Church; 2101 Kennerly Rd Irmo, SC 29063; transitional leader as we work our way to becoming an elder-led church. Duties are guiding church direction and cultural, 1 of 7 voting members to approve budget, shepherding church family members, and help oversee budget and spending with our bookkeeping team. 1/1/2025; 20 hr/month. FCAM; 8540 Colonnade Center Dr Raleigh, NC 27615; Financial Consultant, working with affiliate RIA. 4/9/2025; 40 hr/month.
CRS (Client Relationship Summary) - RIA
Click below to view Dillon Edward Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dillon Edward Smith'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
April 17, 2025 - Present
FIRST CITIZENS ASSET MANAGEMENT, INC
Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615RIA
CRD#: 140777
RALEIGH, NC
Current
April 17, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2760 Clemson Rd, Columbia , SC 29229RIA
BD
CRD#: 44430
Columbia , SC
Current
April 17, 2025 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2760 Clemson Rd, Columbia , SC 29229RIA
BD
CRD#: 44430
Columbia , SC
Past
November 13, 2024 - April 7, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBIA, SC
Past
November 13, 2024 - April 7, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLUMBIA, SC
Past
January 11, 2023 - October 23, 2024
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
COLUMBIA, SC
Past
December 19, 2022 - October 23, 2024
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
COLUMBIA, SC
Past
August 24, 2022 - October 10, 2022
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
IRMO, SC
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
Georgia(4/17/2025)
RR
Missouri(4/17/2025)
RR
New York(5/5/2025)
RR
North Carolina(4/21/2025)
RR
South Carolina(4/17/2025)
IAR
South Carolina(4/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2022
General Securities Representative ExaminationGeneral 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#: 44430Raleigh, NC 27615TRUST BUT VERIFY
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