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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-11-08 |
Branch Locations
970 N Salisbury Ave, Granite Quarry, NC 28146 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hatley Financial | Albemarle | NC | 01/1989 | 10/2022 |
| Ernest Hatley, Independent Insurance Agent | Albemarle | NC | 08/1988 | 10/2022 |
| Lincoln Investment Planning | Albemarle | NC | 03/2011 | 10/2022 |
| Secu Brokerage Services | Raleigh | NC | 11/2022 | Present |
| Secu Life Insurance Company | Raleigh | NC | 11/2022 | Present |
| State Employees' Credit Union | Granite Quarry | NC | 10/2022 | Present |
| Credit Union Investment Services | Raleigh | NC | 11/2022 | Present |
| Members Trust Company | Tampa | FL | 10/2024 | Present |
State Employees' Credit Union. Investment related business. Nature: financial services. OSJ office address: Raleigh, NC. Title: Financial Advisory Services Specialist. Start date 10/2022. Duties: provide financial services to eligible members and provide opportunities for members to improve their economic and social condition. SECU Life Insurance Company. Investment related business. Address: Raleigh, NC. Nature: life insurance. Title: Agent. Start date: 11/2022. Duties and time (some during securities trading hours) as required in conjunction with position at State Employees' Credit Union. Members Trust Company. Investment related business. Nature: Trust Services. Address: 14025 Riveredge Drive, Suite 280, Tampa, FL 33637. Start date: 10/2024. Title: Trust Rep. COMPUTER SET UP & SERVICE BUSINESS POSITION: Owner NATURE: Help small businesses with set up and maintenance of computers. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: 48359 Pfeiffer Place, PO Box 724, Misenheimer NC 28109 DESCRIPTION: Help a few small businesses set up and maintain their computer systems.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-28 |
| S63 | Uniform Securities Agent State Law Examination | 1988-01-13 |
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