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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-04-28 |
Branch Locations
801 Hillsborough St. 3Rd Floor, Raleigh, NC 27603 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legalshield (Fna Pre-Paid Legal Services) | Raleigh | NC | 04/1999 | Present |
| Dwm Advisors, Llc | Durham | NC | 06/2009 | 04/2017 |
| Great Lakes & Atlantic Wealth Management | Charlotte | NC | 04/2017 | 06/2017 |
| First Oak Wealth Management, Llc | Raleigh | NC | 04/2017 | 06/2017 |
| First Oak Wealth Management, Llc | Raleigh | NC | 06/2017 | 04/2021 |
| Secu Brokerage Services | Raleigh | NC | 03/2023 | 09/2023 |
| State Employees' Credit Union | Raleigh | NC | 10/2021 | Present |
| Credit Union Investment Services | Raleigh | NC | 03/2023 | Present |
| Unemployed | Raleigh | NC | 05/2021 | 09/2021 |
State Employees' Credit Union. Investment Related Business. Nature: Financial Services. OSJ Office Address: Raleigh, NC LEGALSHIELD(4/99 TO PRESENT): NOT INVESTMENT RELATED, 4914 MOREHEAD DR. RALEIGH, NC 27612, INDEPENDENT ASSOCIATE, 1 hour per month, none during trading hours. No longer active in sales, trailing income only.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-12 |
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