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Current Employers
Credit Union Investment Services

801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2012-12-14
  • NC RA
    APPROVED
    Since 2012-12-14

Branch Locations

1600 Nc 24-27 Hwy W, Albemarle, NC 28001 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
State Employees' Credit Union Albemarle NC 02/2004 Present
Secu Brokerage Services Raleigh NC 05/2012 Present
Credit Union Investment Services Raleigh NC 09/2012 Present
Members Trust Company Tampa FL 08/2013 Present
Secu Life Insurance Company Raleigh NC 10/2014 Present
  • 02/2004 → Present
    State Employees' Credit Union
    Albemarle, NC
  • 05/2012 → Present
    Secu Brokerage Services
    Raleigh, NC
  • 09/2012 → Present
    Raleigh, NC
  • 08/2013 → Present
    Members Trust Company
    Tampa, FL
  • 10/2014 → Present
    Secu Life Insurance Company
    Raleigh, NC
Other Businesses

STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL SERVICES OFFICER. START DATE: 02/2004. SPEND APPROXIMATELY 95% OF TIME CONDUCTING SECU BUSINESS. DUTIES: PROVIDE FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBERS TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. MEMBERS TRUST COMPANY. INVESTMENT RELATED BUSINESS. NATURE: TRUST SERVICES. ADDRESS: 14025 RIVEREDGE DRIVE, SUITE 280, TAMPA, FL 33637. SPEND APPROXIMATELY 1% OF TIME CONDUCTING MTC BUSINESS. START DATE: AUGUST, 2013. TITLE: TRUST REP. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 10/2014. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION. Rental property. Investment related. Address: 25799 April Lane, Albemarle, NC 28001. Nature: rental property. Title: owner. Start date: January, 2019. Devote no hours/month to other business during securities trading hours or otherwise. Duties: "A portion of our land where our primary residence sits is leased. A farmer plants crops on the land. We do not participate in the farming."

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-13
S63 Uniform Securities Agent State Law Examination 2012-09-07
  • S65 Uniform Investment Adviser Law Examination
    2012-12-13
  • S63 Uniform Securities Agent State Law Examination
    2012-09-07

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