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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-09-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 09/1999 | 03/2025 |
| State Employees' Credit Union | Mint Hill | NC | 07/2025 | Present |
| Credit Union Investment Services | Raleigh | NC | 07/2025 | Present |
| Secu Brokerage Services | Raleigh | NC | 07/2025 | Present |
| Unemployed | Charlotte | NC | 04/2025 | 06/2025 |
State Employees' Credit Union. Investment related business. Nature: financial services. OSJ office address: Raleigh, NC. Title: Financial Advisory Services Specialist. Start date 07/2025. Duties: provide financial services to eligible members and provide opportunities for members to improve their economic and social condition.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1999-10-20 |
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