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Kathryn Dianne Vause

Investment Adviser Representative at FIRST CITIZENS ASSET MANAGEMENT, INC

Andrews, SCCRD #6852827Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
9 yrs
States Registered
10 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 10 states
GeorgiaKentuckyMarylandMissouriNew MexicoNorth CarolinaSouth CarolinaTennesseeTexasVirginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/7/2022
Series 63
Uniform Securities Agent State Law Examination
Passed 10/16/2017
Series 7
General Securities Representative Examination
Passed 11/20/2021
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 10/2/2017

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

First Citizens Asset Management, Inc Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FIRST CITIZENS ASSET MANAGEMENT, INCCurrent
10/26/2022Andrews, SC
FIRST CITIZENS INVESTOR SERVICES, INC.Current
2/8/2022Andrews, SC

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kathryn Dianne Vause has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Kathryn Dianne Vause - Financial Advisor in Andrews, SC | AdvisorFinder