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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-02-06 |
Branch Locations
801 Hillsborough St 3Rd Floor, Raleigh, NC 27603 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Provision Wealth Management | Cary | NC | 03/2017 | 04/2019 |
| Unemployed | Durham | NC | 04/2019 | 06/2019 |
| Tom Morris | Durham | NC | 07/2019 | 07/2019 |
| Tom Morris | Durham | NC | 07/2019 | 08/2022 |
| Northwestern Mutual Investment Services Llc | Durham | NC | 07/2019 | 01/2023 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 11/2010 | 03/2017 |
| William Dowdy | Chapel Hill | NC | 10/2009 | 03/2017 |
| Northwestern Mutual Investment Services Llc | Chapel Hill | NC | 10/2009 | 03/2017 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 12/2019 | 08/2022 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 08/2022 | 01/2023 |
| Secu Brokerage Services | Raleigh | NC | 02/2023 | Present |
| Secu Life Insurance Company | Raleigh | NC | 02/2023 | Present |
| State Employees' Credit Union | Raleigh | NC | 01/2023 | Present |
| Credit Union Investment Services | Raleigh | NC | 02/2023 | Present |
State Employees' Credit Union. Investment Related Business. Nature: Financial Services. OSJ Office Address: Raleigh, NC. SECU Life Insurance Company. Investment related business. Address: Raleigh, NC. Nature: life insurance. Title: Agent. Start date: 2/2023. Duties and time (some during securities trading hours) as required in conjunction with position at State Employees' Credit Union. Proactive Real Estate. Rental Income, 40k p/yr on average. Owner. Location: 3369 Holden Beach rd. SW1 Holden Beach, NC. 28462. Not investment related, 5 hours per month. Start date: 07/11/2023
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2019-11-14 |
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