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CFP
EK
CFP

Ernest Kiefer

First Citizens Investor Services, INC.
18 Years of Experience
Charlotte, NC
2 DisclosuresBroker
View SEC Summary
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Ernest Kiefer is a CFP-designated registered investment advisor at First Citizens Investor Services, INC., based in Charlotte, NC, with 18 years of industry experience. Ernest is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 7,645 clients with $2.6B in assets under management.

First Citizens Investor Services, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
432 advisors
Number of Clients
7,645 clients
Average Client Portfolio
$344K average
Assets Under Management
$2.6B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K1.30%
$100K - $250K1.20%
$250K - $500K1.05%
$500K - $1.0M0.90%
$1M+0.85%

Fees represent maximum standard annual rates for primary programs and may vary based on account type and relationship size. Portfolio manager fees of up to 0.55% and tax-aware service fees of 0.053% may apply additionally in certain programs.

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

Location

128 S Tryon Street, Charlotte, NC, 28202

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History

Regulatory History (2)
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.
Customer Dispute
July 2022
Denied
Customer Dispute
March 2022
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
First Citizens Investor Services, INC.Broker
December 2012 - Present · 13 yrs 10 mos
First Citizens Investor Services, INC.
December 2012 - Present · 13 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2011 - December 2012 · 1 yr 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2011 - December 2012 · 1 yr 2 mos
Morgan Stanley Smith Barney LLC
February 2010 - August 2011 · 1 yr 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - August 2011 · 2 yrs 2 mos
Citigroup Global Markets INC.Broker
March 2008 - June 2009 · 1 yr 3 mos
State Registrations21 states
ARCACTDEFLGAHIIDILKSMDNCNENJNYPASCTNTXUTVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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