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Traci Brockman Pennell

First Citizens Asset Management, Inc

Greenville, SC

First Citizens Investor Services, Inc.

Greenville, SC

Raleigh, NC

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Current Employers
First Citizens Asset Management, Inc

8540 Colonnade Center Drive, Raleigh, NC 27615 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2026-08-17
  • SC RA
    APPROVED
    Since 2026-08-17

Branch Locations

325 West Mcbee Ave, Greenville, SC 29601 • United States

First Citizens Investor Services, Inc.

8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2023-02-07
  • SC RA
    APPROVED
    Since 2023-02-07

Branch Locations

325 West Mcbee Avenue, Greenville, SC 29601 • United States

8540 Colonnade Center Drive, Raleigh, NC 27615 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Bb&T Corporation Greenville SC 01/2000 03/2021
Ascensus Dresher PA 03/2021 12/2022
First Citizens Bank Greenville SC 12/2022 Present
First Citizens Investor Services Raleigh NC 12/2022 Present
First Citizens Asset Management Greenville SC 08/2026 Present
  • 01/2000 → 03/2021
    Bb&T Corporation
    Greenville, SC
  • 03/2021 → 12/2022
    Ascensus
    Dresher, PA
  • 12/2022 → Present
    First Citizens Bank
    Greenville, SC
  • 12/2022 → Present
    First Citizens Investor Services
    Raleigh, NC
  • 08/2026 → Present
    First Citizens Asset Management
    Greenville, SC
Previous Registrations
  • 2021-06-24 → 2022-12-20
    Ascensus Investment Advisors, Llc
    Woodruff, SC
    Needham, MA
  • 2011-03-15 → 2020-12-31
    Bb&T Institutional Investment Advisers, Inc.
    Greenville, SC
  • 2007-11-19 → 2010-11-09
    Bb&T Asset Management, Inc.
    Greenville, SC
  • 2007-04-26 → 2007-11-09
    Bb&T Institutional Investment Advisers, Inc.
    Greenville, SC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-04-03
S65 Uniform Investment Adviser Law Examination 2004-03-09
  • S63 Uniform Securities Agent State Law Examination
    2023-04-03
  • S65 Uniform Investment Adviser Law Examination
    2004-03-09
Other Names
  • Traci Yvonne Pennell

View on SEC IAPD

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THE HUNTINGTON INVESTMENT COMPANY · Greenville, SC
THE HUNTINGTON INVESTMENT COMPANY · Greenville, SC
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