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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2016-09-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| State Employees' Credit Union | Hickory | NC | 06/2010 | Present |
| Secu Brokerage Services | Raleigh | NC | 05/2016 | Present |
| Secu Life Insurance Company | Raleigh | NC | 05/2016 | Present |
| Credit Union Investment Services | Raleigh | NC | 08/2016 | Present |
| Members Trust Company | Tampa | FL | 10/2017 | Present |
STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: Regional VP. START DATE 6/2010. DUTIES: SUPERVISE THE OFFERING OF 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: 5/2016. 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. SPEND APPROXIMATELY 1% OF TIME CONDUCTING MTC BUSINESS. START DATE: OCTOBER, 2017. TITLE: TRUST REP. John Hunter Tompkins, 4056 Shadowood Lane NE, Hickory NC 28601. Basketball Referee. Not investment related. Nature: sports & recreational. Title: referee. Duties: referee youth basketball games, high school, YMCA, youth leagues. Start date: 11/2018. Hrs/ mo. 18. None during trading hours. Business Name: University Christian High School - Girls Basketball team. Address: 602 7th Ave. NE Hickory, NC. 28601. Type of Business: Sports and Recreation. Title: Coach. Duties: Coaching womens basketball team November through February. Start Date: 09/01/2024. Hours Devoted: 32 per month. Website: WWW.UCHIGH.com
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-09-16 |
| S63 | Uniform Securities Agent State Law Examination | 2016-08-11 |
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