Carol Le

First Citizens Investor Services, INC.

4 Years of Experience

1 DisclosureBroker

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 Management	Annual Fee
Up to $100K	1.30%
$100K - $250K	1.20%
$250K - $500K	1.05%
$500K - $1.0M	0.90%
$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

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History

Regulatory History (1)

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Criminal

October 1999

Final Disposition

View Full SEC Report How 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.