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Current Employers
First Citizens Investor Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2026-01-02
  • SC RA
    APPROVED
    Since 2026-01-02

Branch Locations

1230 Main Street, Columbia, SC 29201 • United States

860 Knox Abbott Drive, Cayce, SC 29033 • United States

First Citizens Asset Management, Inc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2026-01-02
  • SC RA
    APPROVED
    Since 2026-01-02

Branch Locations

860 Knox Abbott Drive, Cayce, SC 29033 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
First Citizens Investor Services, Inc. Cayce SC 01/2016 Present
First Citizens Asset Management Columbia SC 12/2006 Present
Previous Registrations
  • 2003-05-14 → 2006-12-20
    Scott & Stringfellow, Llc
    Greenwood, SC
    Greenwood, SC
Other Businesses

First Citizens Asset Management, 1230 Main Street, Columbia, SC 29201. Investment Related, began 12/18/06, investment advisor rep. 4 hours/month, 1 during trading hours, fee based compensation.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-11-10
S63 Uniform Securities Agent State Law Examination 1995-09-01
  • S65 Uniform Investment Adviser Law Examination
    1995-11-10
  • S63 Uniform Securities Agent State Law Examination
    1995-09-01
Other Names
  • Pat Mueller

View on SEC IAPD

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