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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-07-19 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Bank | Raleigh | NC | 06/2011 | 12/2017 |
| Wells Fargo Clearing Services, Llc | Southern Pines | NC | 01/2018 | Present |
| Wells Fargo Bank Na | Southern Pines | NC | 01/2018 | Present |
| Credit Union Investment Services | Raleigh | NC | 07/2023 | Present |
| Secu Life Insurance Company | Raleigh | NC | 06/2023 | Present |
| Secu Brokerage Services | Raleigh | NC | 07/2023 | Present |
| State Employees' Credit Union | Troy | NC | 06/2023 | Present |
| Members Trust Company | Tampa | FL | 08/2025 | Present |
RENTAL PROPERTY, INVT RELATED, VASS, NC, 100% OWNERSHIP, START DATE 12/1/2019, LESS THAN 1 HR PER MONTH, 0 HRS DURING TRADING, LANDLORD, COLLECT RENTAL INCOME. RENTAL PROPERTY, INVT RELATED, VASS, NC, 100% OWNERSHIP, START DATE 3/1/2019, LESS THAN 1 HR PER MONTH, 0 HRS DURING TRADING, LANDLORD, COLLECT RENT. SECU Life Insurance Company. Investment related business. Address: Raleigh, NC. Nature: life insurance. Title: Agent. Start date: 7/2023. 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: August, 2025. Title: Trust Rep. State Employees' Credit Union. Investment related business. Nature: financial services. OSJ office address: Raleigh, NC. Title: Financial Advisory Services Specialist. Start date 07/2023. 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 | 2019-06-04 |
| S63 | Uniform Securities Agent State Law Examination | 2019-05-10 |
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