Peggy D. Renew
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peggy D Renew, who also goes by Peggy Norman Dougherty, was a registered financial professional .
Peggy is a previously registered financial professional and started their career in finance in 1985. Peggy had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 12, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2010 - January 6, 2012
FIRST CITIZENS SECURITIES CORPORATION
May 22, 2003 - July 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 25, 2002 - February 5, 2003
WALNUT STREET SECURITIES, INC.
June 15, 2002 - September 16, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 14, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
May 4, 1992 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
May 28, 1986 - May 4, 1992
SCN DISCOUNT BROKERAGE SERVICES, INC.
November 26, 1985 - June 25, 1986
NF CLEARING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 12
Date: 2/29/2000
NYSE Branch Manager ExaminationCurrent Firm
FIRST CITIZENS SECURITIES CORPORATION
CRD#: 140161 / SEC#: , 8-67287
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST-CITIZENS BANK & TRUST, INC. | PARENT | |
| BRYANT, SHARON WALTERS | DIRECTOR | 2251221 |
| HARRIS, BARRY PALMER IV | DIRECTOR | 1965172 |
| SPIRES, ROBERT EDWARD JR | DIRECTOR; DIRECTOR OF COMPLIANCE & OPERATIONS; FINOP; CCO; CFO | 2311376 |
| WALKER, KEITH WILLIAM | PRESIDENT | 2690232 |
| WILLINGHAM, EDWARD LEE IV | DIRECTOR | 5667294 |
| WILSON, MICHAEL CHRISTOPHER | DIRECTOR | 4301352 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
