Senior Director Wealth Risk & Governance · First Citizens Investor Services, Inc.
Charles Falconer III McCallum
CRD 2697260 · Named on Form ADV at 2 SEC-registered advisers
At a glance
First Citizens Investor Services, Inc., an SEC-registered broker-dealer firm based in Raleigh, NC with $2.6 billion in regulatory assets, lists Charles Falconer III McCallum on its Form ADV as Senior Director Wealth Risk & Governance, a control person. The SEC filings also name Charles at 1 other registered adviser.
Firms and roles
- First Citizens Investor Services, Inc.Senior Director Wealth Risk & GovernanceBroker-dealer firm · Raleigh, NC · $2.6B in regulatory assets
- First Citizens Asset Management, IncDirectorWealth manager · Raleigh, NC · $465M in regulatory assets
AtlasMembers
Charles’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2003 (23 years)
- Designations
- Certified Financial Planner
- Exams
- Series 63, Series 65
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Charles’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 4 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (11)
- David Lee BiliterPresident, First Citizens Investor Services, Inc.
- Michael Lee LongestSenior Director Wealth Finance & Technology, First Citizens Investor Services, Inc.
- Michael Christopher WilsonWealth Management Executive, First Citizens Investor Services, Inc.
- Serina M. ShoresSenior Director Fcis Compliance, First Citizens Investor Services, Inc.
- Johanna Marie MearsChief Compliance Officer, First Citizens Investor Services, Inc.
6 more people named with Charles on the same filings, with titles and firms. Free in Atlas with a free account.
See all 11 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Charles’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.