Scott Soenen
Investment Adviser Representative at First Citizens Investor Services, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Scott Soenen is an investment adviser representative with First Citizens Investor Services, Inc. in North Charleston, SC, where they have been registered since 2026. They have worked in the securities industry since 2005 and have been registered with 12 firms, including TD Private Client Wealth LLC and United Brokerage Services Inc. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in South Carolina.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- South Carolina
- Broker:
1 state or territory
South Carolina
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Empower RetirementOct 2017 – Jun 2019Greenwood Village, CO
- Transamerica RetirementNov 2012 – Oct 2017Harrison, NY
- Northwestern Mutual Investment Services LLCJun 2019 – Aug 2020Greenville, SC
- Mark ClaryJun 2019 – Aug 2019Greenville, SC
- Thomas WilcoxJun 2019 – Aug 2019Greenville, SC
- CUNA Brokerage Services, Inc.Jun 2021 – Nov 2021Waverly, IA
- CUNA Mutual GroupJun 2021 – Nov 2021Waverly, IA
- Penserv Plan ServicesNov 2020 – Jun 2021West Columbia, SC
- UnemployedAug 2020 – Nov 2020Greenville, SC
- Wells Fargo Clearing Services, LLCJan 2022 – Apr 2022Mt. Pleasant, SC
- Wells Fargo BANK, NAJan 2022 – Apr 2022Mt. Pleasant, SC
- Truist Investment Services, IncApr 2022 – Dec 2023Mt Pleasant, SC
- Truist Advisory Services, IncApr 2022 – Dec 2023Mt Pleasant, SC
- United Brokerage Services IncDec 2023 – Aug 2025Charleston, SC
- TD Bank N.A.Aug 2025 – Jun 2026Mount Pleasant, SC
- TD Private Client Wealth LLCAug 2025 – Jun 2026Mount Pleasant, SC
- First Citizens Investor ServicesJun 2026 – no end date reportedRaleigh, NC
- First Citizens BankJun 2026 – no end date reportedCharleston, SC
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About First Citizens Investor Services, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Firm account minimum
- $5,000
- First $100,0001.30%
- Next $150,0001.20%
- Next $250,0001.05%
- Next $500,0000.90%
+7 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 394
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Raleigh, NC
- SEC file number:
- 801-57302
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 17, 2026
View full firm profileOther advisors at First Citizens Investor Services, Inc.
Showing 12 of 394 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Scott Soenen 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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