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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 2021-09-02
  • NC RA
    APPROVED
    Since 2021-09-02

Branch Locations

1412 Corbett Ave, Swansboro, NC 28584 • 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
Secu Brokerage Services Raleigh NC 11/2020 Present
Secu Life Insurance Company Raleigh NC 11/2020 Present
State Employees' Credit Union Swansboro NC 05/2014 Present
Credit Union Investment Services Raleigh NC 05/2021 Present
Members Trust Company Tampa FL 07/2023 Present
  • 11/2020 → Present
    Secu Brokerage Services
    Raleigh, NC
  • 11/2020 → Present
    Secu Life Insurance Company
    Raleigh, NC
  • 05/2014 → Present
    State Employees' Credit Union
    Swansboro, NC
  • 05/2021 → Present
    Raleigh, NC
  • 07/2023 → 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 Specialist. START DATE 5/2014. 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: 11/2020. 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: July, 2023. Title: Trust Rep. Connacht, LLC. Address: 233 River Reach Dr. Swansboro, NC. 28584. Type of Business: Family Business and or Partnership. Title: Manager. Duties: Access accounts, make hiring decisions, obtain property. Start Date: 06/25/2024 Hours per Month: 1

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-09-02
S63 Uniform Securities Agent State Law Examination 2021-03-10
  • S65 Uniform Investment Adviser Law Examination
    2021-09-02
  • S63 Uniform Securities Agent State Law Examination
    2021-03-10
Other Names
  • Laura Hartz Karasick
  • Laura Pittman Hartz

View on SEC IAPD

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