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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-01-06 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Alexandria | VA | 08/2016 | 03/2019 |
| Wells Fargo Clearing Services, Llc | Alexandria | VA | 03/2019 | 03/2021 |
| Wells Fargo Clearing Services, Llc | Alexandria | VA | 03/2021 | 08/2022 |
| Wells Fargo Clearing Services, Llc | Oakton | VA | 08/2022 | 10/2022 |
| Citigroup Global Markets Inc | Mclean | VA | 10/2022 | 06/2024 |
| Wells Fargo Clearing Services, Llc | Raleigh | NC | 06/2024 | 11/2025 |
| Wells Fargo Bank, Na | Raleigh | NC | 05/2024 | 11/2025 |
| Secu Brokerage Services | Raleigh | NC | 01/2026 | Present |
| State Employees' Credit Union | Raleigh | NC | 12/2025 | Present |
| Secu Life Insurance Company | Raleigh | NC | 12/2025 | Present |
| Credit Union Investment Services | Raleigh | NC | 01/2026 | Present |
State Employees' Credit Union. Investment related business. Nature: financial services. OSJ office address: Raleigh, NC. Title: Financial Advisory Services Specialist. Start date 12/2025. 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: 12/2025. Duties and time (some during securities trading hours) as required in conjunction with position at State Employees' Credit Union.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 2019-05-09 |
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