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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 2016-09-16
  • NC RA
    APPROVED
    Since 2016-09-16

Branch Locations

2875 16Th St. Ne, Hickory, NC 28601 • 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 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
  • 06/2010 → Present
    State Employees' Credit Union
    Hickory, NC
  • 05/2016 → Present
    Secu Brokerage Services
    Raleigh, NC
  • 05/2016 → Present
    Secu Life Insurance Company
    Raleigh, NC
  • 08/2016 → Present
    Raleigh, NC
  • 10/2017 → Present
    Members Trust Company
    Tampa, FL
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-16
S63 Uniform Securities Agent State Law Examination 2016-08-11
  • S65 Uniform Investment Adviser Law Examination
    2016-09-16
  • S63 Uniform Securities Agent State Law Examination
    2016-08-11

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