Nicole M. Penland
Professional summary
Nicole Marie Penland, who also goes by Nicole Marie Creed, Nicole M Penland, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Sarasota, Florida and TRUIST INVESTMENT SERVICES, INC. located in Sarasota, Florida.
Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Nicole has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicole Marie Penland's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 1777 Main St Fl 7, Sarasota, FL 34236March 25, 2011 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 1777 Main St Fl 1 & 7, Sarasota, FL 34236March 31, 2011 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
October 1, 2000 - March 29, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - March 29, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 4, 1993 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
September 3, 1991 - October 15, 1992
INVEST FINANCIAL CORPORATION
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2024)
(4/3/2019)
(11/25/2024)
(9/12/2014)
(3/25/2011)
(11/1/2016)
(1/22/2013)
(1/29/2020)
(10/19/2012)
(2/11/2022)
(10/13/2021)
(10/7/2021)
(6/11/2015)
(1/22/2013)
(4/3/2019)
(3/25/2011)
(4/3/2019)
(8/1/2022)
(10/7/2021)
(3/26/2019)
(3/25/2011)
(4/27/2012)
(6/11/2015)
(6/11/2015)
(4/3/2019)
(12/19/2023)
(4/3/2019)
(4/6/2020)
(4/3/2019)
(4/3/2019)
(1/3/2022)
(12/14/2017)
(4/3/2019)
Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
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