Scott Soenen
Professional summary
Scott Soenen, who also goes by Scott C Soenen, Scott Cristopher Soenen, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in North Charleston, South Carolina.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Scott Soenen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Soenen's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2026 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2170 Ashley Phosphate Rd, North Charleston, SC 29406June 29, 2026 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2170 Ashley Phosphate Rd, North Charleston, SC 29406August 29, 2025 - June 12, 2026
TD PRIVATE CLIENT WEALTH LLC
August 29, 2025 - June 12, 2026
TD PRIVATE CLIENT WEALTH LLC
December 21, 2023 - August 26, 2025
UNITED BROKERAGE SERVICES, INC
December 21, 2023 - August 26, 2025
UNITED BROKERAGE SERVICES, INC
April 12, 2022 - December 6, 2023
TRUIST ADVISORY SERVICES, INC.
April 12, 2022 - December 6, 2023
TRUIST INVESTMENT SERVICES, INC.
February 3, 2022 - March 29, 2022
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2022 - March 29, 2022
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2021 - November 3, 2021
CUNA BROKERAGE SERVICES, INC.
June 25, 2021 - November 3, 2021
CUNA BROKERAGE SERVICES, INC.
August 12, 2019 - September 9, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 12, 2019 - September 9, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 20, 2017 - June 24, 2019
EMPOWER ADVISORY GROUP, LLC
October 20, 2017 - June 24, 2019
EMPOWER FINANCIAL SERVICES, INC.
June 23, 2014 - October 9, 2017
TRANSAMERICA RETIREMENT ADVISORS, LLC
December 7, 2012 - October 9, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
September 15, 2010 - November 8, 2012
BB&T INVESTMENT SERVICES, INC.
September 13, 2010 - November 8, 2012
BB&T INVESTMENT SERVICES, INC.
April 29, 2010 - September 8, 2010
SOUTHSTATE ADVISORY, INC.
January 23, 2009 - August 31, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 4, 2008 - August 31, 2009
WELLS FARGO CLEARING SERVICES, LLC
November 5, 2003 - May 27, 2008
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/29/2026)
(6/29/2026)
Exams
FINRA
Current Firm
FIRST CITIZENS INVESTOR SERVICES, INC.
CRD#: 44430 / SEC#: 801-57302, 8-50696
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
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 |
|---|---|---|
| 01/30/2026 | ||
| 01/13/2025 |
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.
