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Frances Kay Pumphrey

First Citizens Investor Services, Inc.

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About Frances Kay Pumphrey

Frances Pumphrey is a registered investment advisor representative with First Citizens Investor Services, Inc. Frances has been working in the securities industry since 2007. Frances has a combined total of 12 approved state registrations, including Arizona, Florida, Georgia, Indiana, Louisiana, Mississippi, North Carolina, Pennsylvania, Rhode Island, South Carolina, Virginia, and West Virginia. Frances also holds Series 6, 7, and 66 licenses. Frances has experience working with high net worth individuals, corporations, and other businesses, as well as charitable organizations and pension and profit-sharing plans.

Firm Information

Frances Pumphrey is currently registered with First Citizens Investor Services, Inc.. First Citizens Investor Services, Inc. is a Corporation formed in 1994 with its main office located in Raleigh, North Carolina. The firm offers a range of advisory services including financial planning, selection of other advisors, and portfolio management for individuals and businesses. First Citizens Investor Services, Inc. manages approximately $1.73 billion in regulatory assets under management for a diverse clientele, including individuals, high-net-worth individuals, corporations, charitable organizations, and pension plans.
First Citizens Investor Services, Inc.

8540 COLONNADE CENTER DRIVE

RALEIGH, NC 27615

$1.73B

Assets Under Management

Not reported

Total Clients

574

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Frances Pumphrey’s Registration & Firm History

NC

07/31/2017 - Present

First Citizens Investor Services, Inc. (Lincolnton NC)

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Licenses & Designations

BOTH

Issued 07/28/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/06/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/22/2014

Series 7 - General Securities Representative Examination

BC

Issued 09/21/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Frances Kay Pumphrey.
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