Senior Director Fcis Compliance · First Citizens Investor Services, Inc.
Serina M. Shores
CRD 4076684 · Named on Form ADV at one SEC-registered adviser
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 Serina M. Shores on its Form ADV as Senior Director Fcis Compliance, a control person.
Firms and roles
- First Citizens Investor Services, Inc.Senior Director Fcis ComplianceBroker-dealer firm · Raleigh, NC · $2.6B in regulatory assets
AtlasMembers
Serina’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 the firm
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- Control-person status
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Colleagues named on the same filings (7)
- David Lee BiliterPresident, First Citizens Investor Services, Inc.
- Charles Falconer III McCallumSenior Director Wealth Risk & Governance, 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.
- Johanna Marie MearsChief Compliance Officer, First Citizens Investor Services, Inc.
2 more people named with Serina on the same filings, with titles and firms. Free in Atlas with a free account.
See all 7 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Serina’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.