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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

SCOTT SOENEN

Advisor at FIRST CITIZENS INVESTOR SERVICES, INC.

CHARLOTTE, NC | North Charleston, SC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 4
On other graphs: 0
Observed: Jan 23, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FIRST CITIZENS INVESTOR SERVICES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 16, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 11
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Dec 16, 2003
First registration: Jan 23, 2009
Dual registered: yes, broker-dealer
Other names: SCOTT C SOENEN|SCOTT CRISTOPHER SOENEN|SCOTT C SOENEN|SCOTT C SOENEN|SCOTT SOENEN
IAPD individual key: 4717864

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FIRST CITIZENS INVESTOR SERVICES, INC.	Bd affiliated wealth	Jun 29, 2026	n/a	yes	North Charleston, SC\|CHARLOTTE, NC	Current employment
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Aug 29, 2025	Jun 12, 2026	no	Mount Pleasant, SC\|VIENNA, VA	Previous registration
UNITED BROKERAGE SERVICES INC	Bd affiliated wealth	Dec 21, 2023	Aug 26, 2025	no	Charleston, SC\|Mount Pleasant, SC	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Apr 12, 2022	Dec 6, 2023	no	CHARLESTON, SC\|MOUNT PLEASANT, SC\|MT PLEASANT, SC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 3, 2022	Mar 29, 2022	no	CHARLESTON, SC\|MOUNT PLEASANT, SC	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Jun 25, 2021	Nov 3, 2021	no	Madison, WI\|MADISON, WI\|Mount Pleasant, SC	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Aug 12, 2019	Sep 9, 2020	no	GREENVILLE, SC	Previous registration
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	Oct 20, 2017	Jun 24, 2019	no	mount pleasant, SC\|GREENWOOD VILLAGE, CO	Previous registration
TRANSAMERICA RETIREMENT ADVISORS, LLC	Bd affiliated wealth	Jun 23, 2014	Oct 9, 2017	no	MT. PLEASANT, SC	Previous registration
BB&T INVESTMENT SERVICES, INC.	Former SEC adviser	Sep 15, 2010	Nov 8, 2012	no	CHARLOTTE, NC\|CHARLESTON, SC\|CHARLESTON, SC\|DANIEL ISLAND, SC\|SUMMERVILLE, SC\|NORTH CHARLESTON, SC\|GOOSE CREEK, SC\|NORTH CHARLESTON, SC\|SUMMERVILLE, SC	Previous registration
SOUTHSTATE ADVISORY, INC.	Former SEC adviser	Apr 29, 2010	Sep 8, 2010	no	COLUMBIA, SC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 23, 2009	Aug 31, 2009	no	CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD PRIVATE CLIENT WEALTH LLC	FIRST CITIZENS INVESTOR SERVICES, INC.	Jun 12, 2026	Jun 29, 2026	17	Firm change	Ibd to ibd
UNITED BROKERAGE SERVICES INC	TD PRIVATE CLIENT WEALTH LLC	Aug 26, 2025	Aug 29, 2025	3	Firm change	Ibd to ibd
TRUIST ADVISORY SERVICES, INC.	UNITED BROKERAGE SERVICES INC	Dec 6, 2023	Dec 21, 2023	15	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	TRUIST ADVISORY SERVICES, INC.	Mar 29, 2022	Apr 12, 2022	14	Firm change	Wirehouse to ibd
CUNA BROKERAGE SERVICES, INC.	WELLS FARGO ADVISORS	Nov 3, 2021	Feb 3, 2022	92	Firm change	Ibd to wirehouse
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	CUNA BROKERAGE SERVICES, INC.	Sep 9, 2020	Jun 25, 2021	289	Firm change	Other
EMPOWER ADVISORY GROUP, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jun 24, 2019	Aug 12, 2019	49	Firm change	Other
TRANSAMERICA RETIREMENT ADVISORS, LLC	EMPOWER ADVISORY GROUP, LLC	Oct 9, 2017	Oct 20, 2017	11	Firm change	Other
BB&T INVESTMENT SERVICES, INC.	TRANSAMERICA RETIREMENT ADVISORS, LLC	Nov 8, 2012	Jun 23, 2014	592	Firm change after gap	Other
SOUTHSTATE ADVISORY, INC.	BB&T INVESTMENT SERVICES, INC.	Sep 8, 2010	Sep 15, 2010	7	Firm change	Other
WELLS FARGO ADVISORS	SOUTHSTATE ADVISORY, INC.	Aug 31, 2009	Apr 29, 2010	241	Firm change	Wirehouse to new firm

Relationships

Registered with (11)

→ FIRST CITIZENS INVESTOR SERVICES, INC.Registered adviserregistration: current employment
Jun 29, 2026 to presentfactForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Aug 29, 2025 to Jun 12, 2026factForm ADV
→ UNITED BROKERAGE SERVICES INCRegistered adviserregistration: previous registration
Dec 21, 2023 to Aug 26, 2025factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Apr 12, 2022 to Dec 6, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 3, 2022 to Mar 29, 2022factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Jun 25, 2021 to Nov 3, 2021factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Aug 12, 2019 to Sep 9, 2020factForm ADV
→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Oct 20, 2017 to Jun 24, 2019factForm ADV
→ TRANSAMERICA RETIREMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 23, 2014 to Oct 9, 2017factForm ADV
→ BB&T INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Sep 15, 2010 to Nov 8, 2012factForm ADV
→ SOUTHSTATE ADVISORY, INC.Registered adviserregistration: previous registration
Apr 29, 2010 to Sep 8, 2010factForm ADV

Dated events

Occurred
Jun 12, 2026
Advisor changed firm
Scott Soenen left Td Private Client Wealth Llc for First Citizens Investor Services, Inc. (registered 2026-06-29)
Form ADVobserved 5 days ago
Occurred
Aug 26, 2025
Advisor changed firm
Scott Soenen left United Brokerage Services Inc for Td Private Client Wealth Llc (registered 2025-08-29)
Form ADVobserved 5 days ago
Occurred
Dec 6, 2023
Advisor changed firm
Scott Soenen left Truist Advisory Services, Inc. for United Brokerage Services Inc (registered 2023-12-21)
Form ADVobserved 5 days ago
Occurred
Mar 29, 2022
Advisor changed firm
Scott Soenen left Wells Fargo Advisors for Truist Advisory Services, Inc. (registered 2022-04-12)
Form ADVobserved 5 days ago