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801 Hillsborough Street 3Rd Floor, Raleigh, NC 27603 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-07-12 |
Branch Locations
1825 Matthews Township Parkway, Matthews, NC 28105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Charlotte | NC | 06/2019 | 04/2020 |
| Atrium Health (Formerly Carolinas Healthcare System) | Charlotte | NC | 12/2002 | 05/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Charlotte | NC | 04/2020 | 06/2022 |
| Bank Of America, N.A. | Charlotte | NC | 04/2020 | 06/2022 |
| Secu Brokerage Services | Raleigh | NC | 07/2022 | Present |
| Secu Life Insurance Company | Raleigh | NC | 07/2022 | Present |
| State Employees' Credit Union | Matthews | NC | 06/2022 | Present |
| Credit Union Investment Services | Raleigh | NC | 07/2022 | Present |
| Members Trust Company | Tampa | FL | 07/2023 | Present |
State employees' credit union. Investment related business. Nature: financial services. OSJ office address: Raleigh, NC. Title: Financial Advisory Services Specialist. Start date 6/2022. 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: 7/2022. 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: July, 2023. Title: Trust Rep.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-05-13 |
| S63 | Uniform Securities Agent State Law Examination | 2019-08-09 |
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