First Citizens Wealth Disclosures | First Citizens Bank

First Citizens Wealth Disclosures

First-Citizens Bank & Trust

First Citizens Investor Services, Inc.

First Citizens Asset Management

SVB Wealth LLC

Fiduciary Disclosure (PDF)

Regulation Best Interest Brokerage & Insurance Conflicts of Interest Disclosure (PDF)

Business Continuity Plan (PDF)

Commission and Fee Schedule (PDF)

Customer Agreement (PDF)

Firm Brochure Form ADV Part 2A (PDF)

Wrap Brochure Form ADV Part 2A (PDF)

Form CRS Customer Relationship Summary (PDF)

SEC Rule 606 Report

The SEC Rule 606 Reports are pursuant to Securities and Exchange Commission Rule 606, which requires all broker-dealers to make publicly available quarterly reports on their order-routing practices. The reports provide information on our routing of non-directed orders, which are orders that customers haven't specifically instructed to be routed to a particular venue for execution. The link above will take you to a site where you can type the name of our firm and access our Rule 606 Report.

Account Cash Sweep Program (PDF)

Firm Brochure Form ADV Part 2A (PDF)

Wrap Brochure Form ADV Part 2A (PDF)

Form CRS Customer Relationship Summary (PDF)

Firm Brochure Form ADV Part 2A (PDF)

Wrap Brochure Form ADV Part 2A (PDF)

Form CRS Client Relationship Summary (PDF)

Links to third-party websites may have a privacy policy different from First Citizens Bank and may provide less security than this website. First Citizens Bank and its affiliates are not responsible for the products, services, and content on any third-party website.

Third parties mentioned are not affiliated with First-Citizens Bank & Trust Company.

Your investments in securities and insurance products are not insured by the FDIC or any other federal government agency and may lose value. They are not deposits or other obligations of, or guaranteed by, any bank or bank affiliate and are subject to investment risks, including possible loss of the principal amounts invested. Past performance does not guarantee future results. There is no guarantee that a strategy will achieve its objective.

About the Entities, Brands, Products and Services Offered

First Citizens Wealth® (FCW) is a registered trademark of First Citizens BancShares, Inc., a bank holding company. The following affiliates of First Citizens BancShares Inc. are the entities through which FCW products and services are offered. Brokerage products and services are offered through First Citizens Investor Services, Inc. (FCIS), a registered broker-dealer, Member FINRA and SIPC. Advisory services are offered through FCIS, First Citizens Asset Management, Inc. (FCAM), and SVB Wealth LLC (SVBW), all SEC registered investment advisers. Certain brokerage and advisory products and services may not be available from all investment professionals, in all jurisdictions, or to all investors. Insurance products are offered through FCIS, a licensed insurance agency. Banking, lending, trust products and services, and certain insurance products are offered by First-Citizens Bank & Trust Company, Member FDIC, and an Equal Housing Lender icon: sys-ehl, and First Citizens Delaware Trust Company.

For more information about FCIS, FCAM, or SVBW and its investment professionals, visit: FirstCitizens.com/Wealth/Disclosures.

See more about First Citizens Investor Services, Inc. and our investment professionals at FINRA BrokerCheck.