AdFi
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Katherine Tracy Pepper

Investment Adviser Representative at FIRST CITIZENS ASSET MANAGEMENT, INC

Charlotte, NCCRD #5706582Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
13 yrs
States Registered
11 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 11 states
AlabamaFloridaGeorgiaKentuckyMichiganNorth CarolinaPennsylvaniaSouth CarolinaSouth DakotaTexasVirginia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/12/2024
Series 63
Uniform Securities Agent State Law Examination
Passed 3/3/2017
Series 7
General Securities Representative Examination
Passed 11/7/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 10/2/2009

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
3/25/2024Charlotte, NC
FIRST CITIZENS INVESTOR SERVICES, INC.Current
2/13/2024Charlotte, NC
FIRST CITIZENS INVESTOR SERVICES, INC.
1/8/201510/12/2015Concord, NC
FIRST CITIZENS INVESTOR SERVICES, INC.
10/5/20091/11/2013Raleigh, NC

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. Katherine Tracy Pepper 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.

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