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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 2022-07-08
  • NC RA
    APPROVED
    Since 2022-07-08

Branch Locations

Greensboro, NC • United States

3389 Sides Branch Rd, Winston Salem, NC 27127 • 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
First Citizens Investor Services Raleigh NC 03/2015 10/2019
First Citizens Bank High Point NC 10/1999 10/2019
Bankers Life & Casualty Myrtle Beach SC 10/2019 06/2020
Bankers Life Securities Myrtle Beach SC 11/2019 06/2020
Transamerica Conway SC 06/2020 04/2022
Macy's Greensboro NC 10/2021 03/2022
Secu Brokerage Services Raleigh NC 04/2022 Present
Secu Life Insurance Company Raleigh NC 04/2022 Present
State Employees' Credit Union Winston Salem NC 04/2022 Present
Credit Union Investment Services Raleigh NC 05/2022 Present
Members Trust Company Tampa FL 10/2024 Present
  • 03/2015 → 10/2019
    First Citizens Investor Services
    Raleigh, NC
  • 10/1999 → 10/2019
    First Citizens Bank
    High Point, NC
  • 10/2019 → 06/2020
    Bankers Life & Casualty
    Myrtle Beach, SC
  • 11/2019 → 06/2020
    Bankers Life Securities
    Myrtle Beach, SC
  • 06/2020 → 04/2022
    Transamerica
    Conway, SC
  • 10/2021 → 03/2022
    Macy's
    Greensboro, NC
  • 04/2022 → Present
    Secu Brokerage Services
    Raleigh, NC
  • 04/2022 → Present
    Secu Life Insurance Company
    Raleigh, NC
  • 04/2022 → Present
    State Employees' Credit Union
    Winston Salem, NC
  • 05/2022 → Present
    Raleigh, NC
  • 10/2024 → Present
    Members Trust Company
    Tampa, FL
Other Businesses

STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL ADVISORY SERVICES. START DATE 4/2022. DUTIES: PROVIDE FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBERS TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 4/2022. 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: 10/2024. Title: Trust Rep.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-08
S63 Uniform Securities Agent State Law Examination 2015-06-10
  • S65 Uniform Investment Adviser Law Examination
    2022-07-08
  • S63 Uniform Securities Agent State Law Examination
    2015-06-10
Other Names
  • Lisa Renee Eanes
  • Lisa Renee Baldwin

View on SEC IAPD

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