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CL
CL

Carol Le

First Citizens Investor Services, INC.
4 Years of Experience
1 DisclosureBroker
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningFinancial Planning & Coaching
First Citizens Investor Services, INC.
Compensation
Fee-Only (AUM)
Firm Size
379 advisors
Number of Clients
6,706 clients
Average Client Portfolio
$313K average
Assets Under Management
$2.1B

Fee Structure

Minimum Investment:$5K
Financial Planning:Included in AUM fee
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $100K1.30%
$100K - $250K1.20%
$250K - $500K1.05%
$500K - $1.0M0.90%
$1M+0.85%

Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—

Location

2770 Sand Hill Rd., Menlo Park, CA, 94025

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
October 1999
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carol works as a Relationship Advisor at SVB Wealth LLC, providing wealth management advice to clients since June 2022. This is a full-time position.

Employment History
Current Registrations
First Citizens Investor Services, INC.Broker
December 2023 - Present · 2 yrs 2 mos
Svb Wealth
June 2022 - Present · 3 yrs 8 mos
Previous Registrations
Svb Investment Services INC.
April 2021 - July 2022 · 1 yr 3 mos
Svb Investment Services INC.Broker
February 2021 - December 2023 · 2 yrs 10 mos
State Registrations10 states
AZCACOGAIDILMTTXVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.