Timothy P. Nugent

FIRST CITIZENS INVESTOR SERVICES

RALEIGH, NC 27615

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CRD#: 4165945

Professional summary

Timothy Penn Nugent, CFP®, who also goes by T. Penn Nugent, Penn Nugent, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Raleigh, North Carolina.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Timothy has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

T. Penn Nugent | Penn Nugent

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Penn Nugent's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Timothy Penn Nugent's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

June 5, 2017 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615

RIA

CRD#: 44430

RALEIGH, NC

Current

June 5, 2017 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 8540 Colonnade Center Drive, Raleigh, NC 27615

RIA

CRD#: 44430

RALEIGH, NC

Past

September 14, 2016 - October 4, 2016

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

RALEIGH, NC

Past

January 8, 2015 - October 4, 2016

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

RALEIGH, NC

Past

January 2, 2015 - October 4, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

RALEIGH, NC

Past

August 15, 2013 - June 17, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

DURHAM, NC

Past

July 12, 2013 - June 12, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DURHAM, NC

Past

July 9, 2009 - November 8, 2012

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

RALEIGH, NC

Past

June 15, 2009 - November 8, 2012

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Past

January 15, 2003 - December 31, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RALEIGH, NC

Past

June 15, 2002 - December 31, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 30, 2000 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(6/5/2017)

IAR

North Carolina
(6/5/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/7/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430 / SEC#: 801-57302, 8-50696

RIA

Registered Investment Advisory firm - SEC (2/22/2000 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

8540 Colonnade Center Drive, Raleigh, NC 27615-3052

Mailing Address

P.o. Box 27131, Raleigh, NC 27611-7131

Phone number

(919) 986-3546

Established

North Carolina since 01/11/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

322

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FCIS FIRM BROCHURE (11/18/2025)

FCIS WRAP BROCHURE (11/18/2025)

Direct owners and executive officers

Name	Position	CRD#
FIRST-CITIZENS BANK & TRUST COMPANY	100% OWNER
BILITER, DAVID LEE	DIRECTOR, PRESIDENT	1690995
CECE, MARY	SECRETARY	2135583
LONGEST, MICHAEL LEE	DIRECTOR, SENIOR DIRECTOR WEALTH FINANCE & TECHNOLOGY	6692593
MARRONE, MARK STEPHEN	CHIEF COMPLIANCE OFFICER	1987907
MCCALLUM, CHARLES FALCONER III	DIRECTOR, SENIOR DIRECTOR WEALTH RISK & GOVERNANCE	2697260
WALSH, WILLIAM JAMES	DIRECTOR, FIRST CITIZENS OUTSIDE DIRECTOR	4883580
WILSON, MICHAEL CHRISTOPHER	DIRECTOR, WEALTH MANAGEMENT EXECUTIVE	4301352

Regulatory assets under management

Total Number of Accounts	6,706
AUM (Assets Under Management)	$ 2,098,769,026

Disclosures

Regulatory Event	2
Arbitration	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/13/2025	Cover Page	Report

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.

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Timothy P. Nugent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Penn Nugent's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Timothy Penn Nugent's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

FIRST CITIZENS INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/7/2009

SIE

Date: 10/1/2018

Series 7

Date: 6/11/2009

Series 24

Date: 12/30/2015

FINRA

Current Firm

FIRST CITIZENS INVESTOR SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

FIRST CITIZENS INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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